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14 Dec 2021, 9:00 am
The regulator censured and fined Wells Fargo Advisors Financial Network $100,000; and censured and fined Wells Fargo Clearing Services $550,000 plus $2.083 million in restitution. [read post]
12 Apr 2017, 6:30 am
If anyone has a link to the actual study, I would love to review it.One more caveat - I don't know anything about these Wells Fargo arbitrations, but I do know something about consumer arbitrations - having represented investors and financial firms in well over 600 such arbitrations over the years. [read post]
22 Feb 2013, 11:39 am
Here is the tribe’s press release: MOAPA DISMISSES TRIBAL COURT ACTION Moapa, NV –The Moapa Band of Paiute Indians today announced that it and Wells Fargo Financial Advisors LLC had agreed to submit to mediation certain issues between the parties, and that the Band had caused dismissal of an action against Wells Fargo Financial Advisors commenced in the Tribe’s tribal court. [read post]
7 Feb 2013, 9:41 am
On February 6, 2013, the Financial Industry Regulatory Authority (FINRA) announced that a public customer was awarded an award of full rescission against Wachovia Securities, LLC, doing business as Wells Fargo Advisors, LLC ("Wells Fargo") for the entirety of Fannie Mae Preferred shares recommended by Wells Fargo. [read post]
6 Jul 2018, 11:46 am
According to the Financial Industry Regulation Authority (FINRA) BrokerCheck records, in October 2017, Meyers was terminated from Wells Fargo Clearing Services LLC (Wells Fargo) for recommending investments to customers that he did not notify the firm about. [read post]
9 May 2017, 7:34 am
John’s University School of Law, has written “Free-Market Failure: The Wells Fargo Arbitration Clause Example,” 70 Rutgers U.L. [read post]
14 Feb 2022, 10:37 am
The post Ex-Wells Fargo Advisor Kenneth Welsh Sued for $10 Million appeared first on The White Law Group. [read post]
28 Feb 2020, 10:38 am
The SEC also charged that Wells Fargo failed to adequately supervise or train its financial professionals. [read post]
15 Jun 2020, 1:51 pm
Wells Fargo & Company Monday joined the IOLTA Honor Roll, a joint project of Maryland Legal Services Corporation (MLSC) and the Maryland State Bar Association (MSBA) recognizes financial institutions that go above and beyond legal requirements and pay favorable interest rates on interest on lawyer trust accounts. [read post]
3 Oct 2008, 3:15 pm
That was the message from Citigroup on Friday, as the financial giant saw its four-day-old agreement to buy Wachovia’s banking operations set aside in favor of a $15.1 billion merger between Wachovia and Wells Fargo. [read post]
14 Nov 2010, 6:56 am
Even though Wells Fargo has admitted to problems in their foreclosure processes they declined to join other mortgage giants Bank of America and Ally Financial Inc. in suspending foreclosures pending an investigation into and a correction of their practices. [read post]
17 Nov 2009, 12:19 pm
Wells Fargo Bank, National Association et. al, has not yet been certified by the court. [read post]
23 Oct 2017, 8:16 am
On October 16, 2017, The Financial Industry National Regulatory Authority (“FINRA”) announced a $3.4 million dollar fine against Wells Fargo, in connection to Wells Fargo brokers improperly placing retail clients in volatility linked products. [read post]
24 Jul 2017, 3:22 pm
Wells Fargo blamed its outside counsel, who in turn blamed their outside discovery vendor.The lesson for Wells Fargo is obvious - as is the lesson for lawyer and law firms. [read post]
27 Sep 2016, 1:07 pm
The suit [complaint, PDF], filed in the US District Court for the Northern District of California [official website], alleges that the Wells Fargo organization violated the Securities Exchange Act of 1934 by engaging in misleading and incorrect information regarding the financial status of the bank. [read post]
14 Mar 2016, 3:16 pm
Bruce Tuchman had previously been employed at Smith Barney, but left to join Wells Fargo in 2009. [read post]
12 Dec 2011, 6:48 am
Wells Fargo & Co. has agreed to pay $148 million to settle charges against Wachovia Bank, which Wells Fargo acquired in 2008. [read post]
22 Sep 2016, 12:58 pm
I am willing to bet that none of the Wells Fargo customers knew they were waiving their right to a jury trial when they became customers of Wells Fargo. [read post]
8 May 2012, 6:03 am
Less than half of U.S. employers are taking steps to measure retirement plan success or measure whether employees are on track for retirement, according to recent research from financial services provider Wells Fargo. [read post]
4 Jan 2019, 6:56 am
According to Investment News, the Prosecutor alleges that Schmidt, while employed a financial advisor for Wells Fargo Advisors, stole money from clients while operating a Ponzi scheme. [read post]
