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26 Sep 2018, 1:06 am
Read the SEC Order (PDF) Frequently Asked Questions Suspicious Activity Reporting Requirements for Mutual Funds, FinCen.gov More Blog Posts:Two Former Meyers Associates Alleged Excessive Trading Cost Investors $3.6M, September 25, 2018 Investors Suing UBS Puerto Rico Over Closed-End Fund Losses Are Denied Class Action Certification, September 19, 2018 Another Texas-Based Wells Fargo Broker is Barred by FINRA, September 12, 2018 The post TD Ameritrade Fined $500K For Not Reporting… [read post]
25 Sep 2018, 10:59 am
The White Law Group is investigating potential securities fraud claims involving John Greg Schmidt and the liability his former employer, Wells Fargo may have for failing to properly supervise him. [read post]
25 Sep 2018, 7:36 am
From September 2012 until July 2014 Roberts was associated with Wells Fargo Advisors, LLC. [read post]
21 Sep 2018, 11:10 am
In addition to our CEO panelists—Caroline Beasley of Beasley Media Group, Ginny Morris of Hubbard, and Dhruv Prasad of Townsquare—Wells Fargo analyst J. [read post]
19 Sep 2018, 3:49 pm
Kittner was previously registered with Edward Jones in Prescott Valley, Arizona from May 2001 until March 2006, Wells Fargo in Mesa, Arizona from March 2006 until December 2011 and Ameritas Investment Corp in Mesa from December 2011 until November 2017. [read post]
18 Sep 2018, 6:19 am
The SEC Order in the $1.5M Whistleblower Award (PDF) The SEC Order Granting Two Whistleblowers Over $54M (PDF) CFTC Announces Multiple Whistleblower Awards Totaling More than $45 Million, CFTC, August 2, 2018 More Blog Posts from SSEK Law Firm: Another Texas-Based Wells Fargo Broker is Barred by FINRA, September 12, 2018 FINRA Bars Former JP Morgan, Stifel Nicolaus, and Benjamin & Jerold Brokers, September 11, 2018 Transamerica Entities to Pay $97M to Investors Over Flawed… [read post]
18 Sep 2018, 5:00 am
A Wells Fargo employee convinced you to put money into a Wells Fargo mutual fund. [read post]
14 Sep 2018, 8:00 pm
The SEC Complaint in the Steele Financial Complaint (PDF) The SEC Complaint in the Bressman Case (PDF) The SEC Complaint in the Microcap Scam (PDF) More Blog Posts: Another Texas-Based Wells Fargo Broker is Barred by FINRA, September 12, 2018 Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models, August 29, 2018 GPB Capital Holdings Stops Selling Private Placements in GPB Funds to Investors, August 20, 2018 The post Investor Fraud: Steele Financial is Accused… [read post]
13 Sep 2018, 9:16 am
(CRD #124583), also of Wimberly, as well as Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) and Wells Fargo Advisors, LLC (CRD #19616), both of Austin, TX. [read post]
12 Sep 2018, 10:06 am
The securities attorneys at Gana Weinstein LLP have been investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Bryan Musso (Musso). [read post]
12 Sep 2018, 8:32 am
The investment fraud attorneys at Gana Weinstein LLP are currently investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Peter Malis (Malis). [read post]
12 Sep 2018, 7:44 am
Finra bars two brokers, including one with nearly 40 years in the industry, InvestmentNews, September 5, 2018 Stephen Hurtak, BrokerCheck Juergen Weber, BrokerCheck Benjamin Johnson, BrokerCheck More Blog Posts: Dallas, Texas-Based Wells Fargo Broker Expelled by FINRA, August 30, 2018 Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models, August 29, 2018 GPB Capital Holdings Stops Selling Private Placements in GPB Funds to Investors, August 20, 2018 The post… [read post]
12 Sep 2018, 7:29 am
The SEC Complaint in the Lemelson Case (PDF) The SEC Order in the Crypto Asset Management Case (PDF) More Blog Posts:Another Texas-Based Wells Fargo Broker is Barred by FINRA, September 12, 2018 Financial Firm News: Includes Lincoln Investment Planning, Grenda Group, and Massachusetts Financial Services Company, September 7, 2018 Investors Bilked in $1.2B Woodbridge Ponzi Scam Must Pay 16% to Borrow on What They Are Owed, September 5, 2018 The post Hedge Fund Fraud Cases: Adviser… [read post]
12 Sep 2018, 7:24 am
Cloutier was a Wells Fargo broker for seven years. [read post]
11 Sep 2018, 4:26 am
, 47 NY2d 170, 178; Wells Fargo Bank, N.A. v Eitani, 148 AD3d 193, 202). [read post]
7 Sep 2018, 12:30 pm
Wells Fargo summarily terminates employees who it determines have been convicted of crimes involving dishonesty (which make them legally ineligible for employment at an FDIC-insured institution). [read post]
7 Sep 2018, 12:15 pm
There have been some whispers. [read post]
7 Sep 2018, 6:14 am
Verdi (MIT), and Benjamin Yost (Boston College), on Wednesday, September 5, 2018 Tags: Acquisition premiums, Acquisitions, Capital gains, Deal certainty, Incentives, Mergers & acquisitions, State law, Target firms, Taxation Risk Management and the Board of Directors Posted by Martin Lipton, Wachtell, Lipton, Rosen & Katz, on Wednesday, September 5, 2018 Tags: Boards of Directors, Compliance & ethics, Corporate… [read post]
6 Sep 2018, 7:12 am
Banks, most especially Wells Fargo, seem to relish denying refinance applications for debtors who’ve gotten a bankruptcy discharge. [read post]
5 Sep 2018, 6:45 am
Wells Fargo fired a dozen employees for forgery. [read post]
