Search for: "Wells Fargo Financial"
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9 May 2012, 2:28 pm
In November 2011, Wells Fargo Advisors, LLC. filed an arbitration claim against Kenneth Ray Koger. [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]
7 May 2012, 2:07 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
7 May 2012, 7:09 am
., Morgan Stanley, UBS Financial Services Inc. and Wells Fargo recently agreed to pay $9.1 million to settle allegations that they sold leveraged and inverse exchange-traded funds to clients who had no business investing in the complex instruments. [read post]
5 May 2012, 11:15 am
And Wells Fargo, bless their hearts, why they just can’t seem to stop their employees from losing file folders of paperwork over and over again, as in: “Where did I put that folder? [read post]
5 May 2012, 10:37 am
Wells Fargo reports that they haven’t even received the contracts from the Treasury Department as of today. [read post]
4 May 2012, 6:44 am
Earlier this week, leveraged and inverse ETFs took center stage when the Financial Industry Regulatory Authority (FINRA) levied $9.1 million in penalties on four major banks – Citigroup Global Markets, Morgan Stanley & Co., UBS Financial Services and Wells Fargo Advisors – for their role in selling the risky investments to retail clients who, because of their conservative risk profiles, should never have purchased them. [read post]
3 May 2012, 11:58 am
The Financial Industry Regulatory Authority (FINRA) announced that it ordered Citigroup Global Markets, Morgan Stanley, UBS Financial Services, and Wells Fargo Advisors to pay more than $9.1 million for failure to supervise and failure to have a reasonable basis for recommending selling leveraged and inverse exchange traded funds. [read post]
3 May 2012, 5:33 am
Several of the nation’s leading banks – including Citigroup, Morgan Stanley, UBS and Wells Fargo – were recently sanctioned by the Financial Industry Regulatory Authority (FINRA) for more than $9.1 million over their failure to supervise retail sales of leveraged and inverse exchange-traded funds (ETFs). [read post]
2 May 2012, 2:54 pm
/GMAC, and Wells Fargo & Company (the "Banks"). [read post]
2 May 2012, 6:29 am
., 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]
2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
1 May 2012, 2:22 pm
., 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]
1 May 2012, 6:06 am
Wells you’ve certainly come to the right fargo. [read post]
30 Apr 2012, 7:53 pm
And so, Debtor is Defendant . . . but where does Wells Fargo fit in? [read post]
29 Apr 2012, 7:38 pm
Bank, Regions Financial and Wells Fargo among them — are aggressively courting low-income customers like Mr. [read post]
29 Apr 2012, 3:17 pm
Settlement applies to the five named servicers, Ally (formerly GMAC), Bank of America, Citibank, JPMorgan Chase, and Wells Fargo. $5B to fed and state governments includes money for the cash payments to borrowers wrongly foreclosed. [read post]
27 Apr 2012, 6:56 am
Wells Fargo Bank. [read post]
27 Apr 2012, 2:00 am
This two-part post by Matt Ellis breaks down the FCPA issues involved and provides insight into specific corruption risks. 3) Insight: Independent Chair Proposals on the Ballot - 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. [read post]
26 Apr 2012, 3:51 pm
A binding access proposal (that would require a 1 percent stake for one year) went to a vote this week at Wells Fargo & Co. [read post]
