Search for: "Wells Fargo Financial Inc."
Results 101 - 120
of 669
Sorted by Relevance
|
Sort by Date
23 Aug 2007, 9:13 pm
Chuckles Schumer interrupted his vacation yesterday to jawbone big banks for money (paid subscription required).The roughly 40 lenders he wrote included Citigroup Inc., Bank of America Corp., JPMorgan Chase & Co., Wells Fargo & Co., Countrywide Financial Corp., and Washington Mutual Inc. [read post]
29 Feb 2012, 7:53 am
Wells Fargo also noted that it has received a Wells Notice from SEC staff relating to its disclosures in mortgage-backed securities offering documents. [read post]
18 Nov 2010, 4:02 pm
Department of HUD, Office of the Comptroller of the Currency, the Federal Housing Finance Agency, Bank of America, Ally Financial Inc, JPMorgan Chase, Wells Fargo Home Mortgage Servicing, Citi Mortgage, and MERS.Jordan E. [read post]
31 Jan 2019, 7:56 am
Michael Turner Morrissett (CRD #1456789) is a registered broker and investment advisor who is currently employed with Wells Fargo Clearing Services, LLC (CRD #19616) of Roanoke, VA. [read post]
1 May 2014, 6:40 am
Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Banc of America Investment Services, Wells Fargo, Merrill Lynch, Ameriprise , and UBS Financial Services. [read post]
28 Jan 2019, 8:29 am
” The clause construction award in Wells Fargo Advisors LLC arose out of a claim by Wells Fargo financial advisors that Wells Fargo, through policy, did not correctly calculate the hours worked by financial advisors in its training program, and accordingly, did not compensate the financial advisors for overtime, in violation of the Fair Labor Standards Act and New York state law. [read post]
18 Mar 2014, 7:47 am
According to documents filed in this case and statements made in court: While working in various positions—including branch manager, sales manager, and loan officer—within Wells Fargo Home Mortgage Inc., a division of Wells Fargo Bank N.A., Serao entered into a conspiracy with Stephen Corba, Charles Harvath, Joseph Witkowski, and others to submit mortgage loans to his employer for financially unqualified “straw buyers”… [read post]
16 Apr 2012, 10:17 am
., Wells Fargo & Company, Citigroup Inc., and Ally Financial Inc. [read post]
24 Apr 2012, 8:45 am
The Award against Wachovia Securities, Inc., now known as Wells Fargo Advisors ("Wachovia"), was for far less than Grayson requested. [read post]
24 Apr 2012, 8:45 am
The Award against Wachovia Securities, Inc., now known as Wells Fargo Advisors ("Wachovia"), was for far less than Grayson requested. [read post]
3 Dec 2021, 1:29 pm
By this time, Kaplan had left Wells Fargo and became broker and an investment advisor with LPL Financial. [read post]
3 Jul 2014, 7:10 pm
They are: Bank of America Corporation, Bank of New York Mellon Corporation, Barclays PLC, Citigroup Inc., Credit Suisse Group AG, Deutsche Bank AG, Goldman Sachs Group, HSBC Holdings plc, JPMorgan Chase & Co., Morgan Stanley, State Street Corporation, UBS AG, and Wells Fargo & Company. [read post]
10 Oct 2022, 4:49 am
FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer (BrokeAndBroker.com Blog)Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA (BrokeAndBroker.com Blog)Wells Fargo suit against ex-lawyer 'unusual,' could have 'chilling effect' (Financial Planning by Victoria Zhuang)OFAC Settles with Bittrex, Inc.… [read post]
1 Feb 2021, 2:02 pm
His previous employers include Morgan Stanley Smith Barney LLC (CRD#:149777) and UBS Financial Services Inc. [read post]
2 May 2012, 2:54 pm
., Citigroup Inc., Ally Financial lnc. [read post]
16 Feb 2016, 12:06 pm
While investors have suffered alarming losses in the oil and natural gas related investments, broker-dealers such as Citigroup, Barclays, Wells Fargo, Bank of America Merrill Lynch, Credit Suisse, Goldman Sachs, Morgan Stanley, UBS and JP Morgan have made approximately $1.1 billion in fees and commissions from selling these products. [read post]
23 Feb 2012, 10:53 am
., Wells Fargo & Company, Citigroup Inc. and Ally Financial Inc. was reached by the federal government and 49 state attorneys general to address mortgage loan servicing and foreclosure abuses. [read post]
3 Sep 2020, 7:51 am
Alan Lau Wells Fargo Clearing Services, LLC Wells Fargo Investments, LLC Stanley Martin Allstate Financial Services, LLC H&R Block Financial Advisors, Inc. [read post]
21 Apr 2022, 7:18 am
He did not disclose this activity to Wells Fargo as required. [read post]
9 Feb 2009, 3:09 pm
Various companies, including Citigroup Global Markets Inc., Wells Fargo Securities, LLC, Bank of America Securities LLC, Merrill Lynch & Co. [read post]
