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10 May 2019, 5:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4588/securities-industry-commentator/Wells Fargo Personal Banker Pleads Guilty to Money Laundering Charges (DOJ Release)Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)GOZNYM CYBER-CRIMINAL NETWORK OPERATING OUT OF EUROPE TARGETING AMERICAN ENTITIES DISMANTLED IN INTERATIONAL… [read post]
15 Aug 2014, 4:30 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration 14-00161, August 11, 2014).In response to Claimant’s claims, Respondent Wells Fargo Advisors asserted that it had no objection or opposition to the requested expungement but requested that all fees be assessed against Claimant. [read post]
28 Feb 2022, 3:42 am
No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend (BrokeAndBroker.com Blog)Wells Fargo Slammed With $1 Million Defamation/Fraud Award in FINRA ArbitrationIn the Matter of the Arbitration Between Aaron Olson, Claimant, v. [read post]
4 Apr 2016, 7:34 am
Wells Fargo Bank, N.A., No. 15-712, Justice Clarence Thomas issued a dissent from the denial of certiorari. [read post]
11 Sep 2020, 9:26 am
Wells Fargo Sues Over Transitional and Production Bonuses And Rep Fights Back (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/5436/wells-fargo-bonus/Wall Street is about nothing ... [read post]
21 Feb 2020, 1:29 am
Wells Fargo Agrees To Pay $3 Billion To Resolve Criminal And Civil Investigations Into Sales Practices Involving The Opening Of Millions Of Accounts Without Customer Authorization / $3 Billion Payment Result of Deferred Prosecution Agreement in Criminal Matter, Settlement of Civil Claims under FIRREA and Resolution of SEC Proceedings (DOJ Release)Wells Fargo to Pay $500 Million for Misleading Investors About the Success of Its Largest Business Unit / Payment Will… [read post]
19 Oct 2018, 6:46 am
Underwood Announces $65 Million Settlement With Wells Fargo For Misleading Investors Regarding Cross-Sell Scandal / Wells Fargo Failed to Disclose to Investors that Success of Cross-Sell Efforts was Built on Misconduct – Such as Opening Millions of Fake Deposit and Credit Card Accounts; NY Investors Lost Millions when Misconduct was Disclosed / Settlement Marks Latest Martin Act Enforcement Action to Protect NY Investors and Integrity of Financial Marketplace… [read post]
1 Aug 2022, 4:04 am
Wells Fargo (BrokeAndBroker.com Blog)Georgia Appeals Court Reverses Decision Alleging 'Secret Agreement' in FINRA Arbitration / The court overturned a decision involving a FINRA arbitration ruling in favor of Wells Fargo, several months after the regulator commissioned a study to examine the case (WealthManagement by Patrick Donachie)Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest (SEC Staff… [read post]
28 Feb 2022, 3:42 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration Award)SEC Charges Former Broker for Stealing from Elderly Investors (SEC Release)SEC Charges Investment Adviser with Failing... [read post]
21 Mar 2017, 2:42 am
The Dry Cleaner, Planet Alderaan, FINRA, Wells Fargo, And The Disturbed ForceDid you notice? [read post]
15 May 2020, 4:55 am
Quintessential Shotgun Pleading and Myriad of Motions in FINRA Arbitration Appeal (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5232/Shotgun-Myriad-Wells-Fargo/A public customer filed a FINRA Arbitration Statement of Claim against Wells Fargo Advisors and asked for no less than $100,000 in damages. [read post]
10 May 2019, 5:08 am
Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4593/FINRA-Opioid-Drugs/Today's featured FINRA regulatory case is about a Wells Fargo employee who was charged with converting funds from his employer and failing to fully cooperate in FINRA's ensuing investigation. [read post]
23 Apr 2012, 3:32 pm
Over the next two weeks, shareholder proposals seeking independent board chairs will be on the ballot at Wells Fargo & Co., Lockheed Martin, and other well-known U.S. companies.On Tuesday, this topic will go to a vote at Wells Fargo, which also faces a proxy access proposal. [read post]
25 Aug 2018, 7:18 am
Wells Fargo seems to be putting Fried under a level of scrutiny that other politicians and lobbyists have not had to endure. [read post]
11 Jul 2011, 10:08 pm
“Wells Fargo & Co. decided to exit reverse mortgages after federal officials insisted it foreclose on elderly customers who were behind on property tax and insurance payments, a Wells executive wrote in an email to business contacts Friday. [read post]
11 Apr 2021, 9:05 am
According to records kept by FINRA Ianace was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) and Merrill Lynch Pierce, Fenner & Smith Incorporated (Merrill Lynch) through June 2020 when he abruptly resigned when he refused to cooperate in FINRA’s investigation over these allegations. [read post]
27 Nov 2018, 5:37 am
From December 2006 until November 2017 Schmidt was registered with Wells Fargo out of the firm’s Dayton, Ohio office location. [read post]
18 Dec 2017, 2:06 pm
According to BrokerCheck records financial advisor William Paynter (Paynter), employed by Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to two customer complaints. [read post]
22 Aug 2018, 6:28 am
The securities attorneys at Gana Weinstein LLP are currently investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Michael Morrissett (Morrissett). [read post]
4 Jan 2018, 9:44 am
According to BrokerCheck records financial advisor Jeffrey Wilson (Wilson), employed by Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to four customer complaints. [read post]
