Search for: "Wells Fargo Financial Bank"
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29 Sep 2014, 10:37 am
Wells Fargo stated in the Wells Fargo Settlement Agent Communications newsletter on September 24, 2014 they will be taking over this process in order to meet internal compliance and governmental regulator compliance expectations on the bank. [read post]
5 Jun 2015, 10:09 am
The predecessor banks, Offitbank and Wachovia merged in 1999, and Wells Fargo bought Wachovia in 2008. [read post]
16 Oct 2017, 10:54 am
FINRA Sanctions Wells Fargo for Risky ETPs According to reports on Monday, the Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo & Co. to return $3.4 million to customers after selling them inappropriate investment products. [read post]
4 Jan 2017, 9:48 am
Wells Fargo & Co. will pay $35.5 million to more than 500 black financial advisors and trainees according to the settlement agreement filed Friday. [read post]
3 Apr 2020, 11:31 am
The regulator reportedly charged Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network with failure to supervise and train investment advisors and registered representatives recommending single-inverse ETF investments to retail investors. [read post]
7 Dec 2017, 11:54 am
In his opening statements, Sloan acknowledged the ways in which Wells Fargo had let down its consumers, but promised to do better, saying the bank was a better bank than it was a year ago and it will be a better bank next year than it is today. [read post]
25 Nov 2013, 6:19 am
According to FINRA, the disbursements ranged in size from $7,000 to $16,000 and Wells Fargo’s records reflected 16 disbursement instances from Wells Fargo customers to Rodriguez’s joint bank account that she held with her husband. [read post]
18 Sep 2009, 5:29 am
Nonetheless, we were still surprised to see a series of reports in the Los Angeles Times about a Wells Fargo executive who allegedly moved her family into a bank-owned home in the exclusive beachfront Malibu Colony neighborhood and used it to throw a party, while potential buyers were denied a chance to make their bids. [read post]
23 Apr 2021, 10:53 am
The alleged violations took place between 2011 and 2015 while the brokers were working as personal bankers at Wells Fargo Bank before they shifted to become brokers at Wells Fargo Advisors, according to the article. [read post]
28 Apr 2009, 11:04 am
Brown said that case didn't involve the securities at issue in the lawsuit he filed Thursday.Brown's lawsuit names Wells Fargo Investments, Wells Fargo Brokerage Services and Wells Fargo Institutional Services as defendants. [read post]
8 Dec 2011, 8:02 pm
Wells Fargo & Co. has agreed to settle for $148 million the civil claims and criminal charges accusing Wachovia Bank of taking part in a bid-rigging scam with other financial firms and overcharging local and state governments on their investments. [read post]
17 Sep 2019, 6:11 am
A wave of mergers by Bank of America, Citigroup, JPMorgan, and Wells Fargo in the late 1990s created the “too big to fail” banks that became so central to the crisis. [read post]
20 May 2022, 6:44 am
This is the second Bank Secrecy Act action against Wells Fargo Advisors in the last five years. [read post]
9 Dec 2016, 8:11 am
Donnarumma told clients in an email that Wells Fargo Bank was prepared to close a standby letter of credit purchase transactions. [read post]
26 Feb 2020, 11:00 am
Wells Fargo also entered a civil settlement agreement under the Financial Institutions Reform, Recovery and Enforcement Act of 1989 (FIRREA) based on Wells Fargo’s creation of false bank records. [read post]
15 Jul 2021, 5:25 am
Filing a Complaint against your Brokerage Firm The White Law Group is investigating FINRA arbitration cases involving financial advisor Tyler Rigsbee and the liability Wells Fargo may have for failure to properly supervise him. [read post]
10 May 2019, 11:37 am
Wells Fargo Bank, N.A. [read post]
26 Sep 2019, 6:18 am
Going back in time—the financial crisis of 2008 was triggered by the implosion of the big banks. [read post]
4 Feb 2009, 3:34 pm
But time and again, we’re seeing the banks [...] [read post]
2 Sep 2021, 1:29 am
Wells Fargo isn’t the first bank to turn away expats though. [read post]
