Search for: "Wells Fargo Securities LLC" Results 121 - 140 of 667
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2 May 2012, 6:29 am by Mark Astarita
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
1 Jul 2015, 12:34 pm by Lax & Neville LLP
(“FINRA”)  The FINRA AWC alleged that Daggett, while registered with Wells Fargo Advisors, LLC made numerous unsuitable recommendations of exchange traded products to his customers in violation of FINRA rules. [read post]
4 Jan 2018, 9:44 am by Adam Weinstein
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]
5 Jun 2012, 1:22 pm by D. Daxton White
(“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
4 Mar 2018, 5:43 am
 Wells Fargo Unpaid Overtime Class Action Gets Second Circuit Nod for AAA Arbitration (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3861/wells-fargo-aaa/In 2015, former Wells Fargo Advisors, LLC entry-level financial advisors Reagan Tucker, Benjamin Dooley, Marvin Glasgold, Livia Sappington, Ewa Kelly, and Patrick LaBorde filed putative class arbitrations before ... [read post]
Dawn Wiley was associated with Wells Fargo Advisors, LLC and its predecessor Wachovia Securities LLC from 2000 until her termination on January 3, 2012. [read post]
1 May 2012, 2:22 pm by Securites Lawprof
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
7 Feb 2010, 6:45 am by Mark J. Astarita, Esq.
In a case involving 20 advisers in 4 branch offices, a securities arbitration panel has ordered Raymond James Associates Inc. to pay $12.1 million to Wells Fargo Advisors LLC for alleged raiding.The award does not provide any detail of the case, but ordered 10,500,000 in compensatory damages, 1,500,000 in attorneys fees and costs. [read post]
19 Sep 2016, 7:35 am by Adam Weinstein
  Since December 2015, Braley has been associated with Wells Fargo Advisors, LLC out of the firm’s Saginaw, Michigan office location. [read post]
23 Oct 2020, 8:03 am by Silver Law Group
  Frank Mebane III   LPL Financial LLC   Wells Fargo Clearing Services, LLC   Denis O’Leary   Dinosaur Financial Group, LLC   Morgan Stanley   John Riccardi Jr. [read post]
5 Jan 2021, 11:32 am by Silver Law Group
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) and Wells Fargo Advisors, LLC (CRD#:19616), also of Albuquerque, and Wells Fargo Investments, LLC (CRD#:10582) of Tucson, AZ. [read post]
7 Apr 2021, 6:38 am by Staff Attorney
Financial advisor Paul Porter, currently employed at Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to at least four customer complaints during the course of his career. [read post]
2 Jan 2015, 4:45 am by D. Daxton White
McClure from the securities industry for converting nearly $89,000 from an elderly customer’s bank account while working for Wells Fargo Advisors, LLC and an affiliated bank in Chico, California. [read post]