Search for: "Wells Fargo Investments LLC" Results 141 - 160 of 572
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30 Mar 2015, 6:36 am by Adam Weinstein
From 2003 until present Debaise has been registered with Wells Fargo Advisors, LLC (Wells Fargo). [read post]
11 Feb 2024, 8:55 am by Staff Attorney
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Raul Benitez (Benitez), formerly employed by Wells Fargo Clearing Services , LLC (Wells Fargo) has been subject to at least six customer complaints and one termination for cause during the course of his career. [read post]
13 Jun 2008, 9:23 pm
(NYSE: WFC) and Wells Fargo Investments, LLC between June 11, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
23 Jul 2018, 11:53 am by Renae Lloyd
Wells Fargo Advisors to Pay $8.6M, UBS Pays $4.3M Have you suffered losses investing in Puerto Rico bonds at the recommendation of your financial advisor? [read post]
1 Feb 2021, 2:02 pm by Silver Law Group
Kevin Schaefer (Kevin Joseph Schaefer CRD:# 1286030) is a registered broker and investment advisor currently employed with Wells Fargo Clearing Services, LLC (CRD#: 19616) of San Francisco, CA. [read post]
24 Mar 2022, 8:51 am by Silver Law Group
His only prior industry employment was with Wells-Fargo Clearing Services, LLC (CRD#:19616) of Elizabeth, NJ. [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]
15 Sep 2020, 1:11 pm by Silver Law Group
Previous employers include Wells Fargo Clearing Services, LLC (CRD#:19616) of Hauppage, NY, RBC Capital Markets, LLC (CRD#:31194) if Jericho, NY, and Morgan Stanley DW INC. [read post]
29 Mar 2021, 2:02 pm by Silver Law Group
Kevin Schaefer (Kevin Joseph Schaefer CRD:# 1286030) is a registered broke and investment advisor currently employed with Wells Fargo Clearing Services, LLC (CRD#: 19616) of San Francisco, CA. [read post]
16 Apr 2024, 1:32 pm by The White Law Group
  Free consultation  If you have suffered losses investing with Paul Trimber and Wells Fargo, the securities attorneys at The White Law Group may be able to help you. [read post]
28 Jun 2018, 1:00 pm by Silver Law Group
John Greg Schmidt (CRD #708094) is a former registered stockbroker and investment advisor whose last known employer was Wells Fargo Advisors Financial Network, LLC (CRD #11025) in Dayton, OH. [read post]
9 Jun 2009, 10:53 am
Evergreen Investment Management Company ("Evergreen"), a unit of Wells Fargo & Co., has agreed to pay more than $40 million to settle an enforcement action by the Securities and Exchange Commission ("SEC") and the Massachusetts Securities Division, according to articles in the Wall Street Journal and Reuters. [read post]
27 Nov 2018, 5:37 am by Staff Attorney
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor John Schmidt (Schmidt), formerly associated with Wells Fargo Advisors Financial Network, LLC (Wells Fargo) in Dayton, Ohio has been accused by the Securities and Exchange Commission (SEC) of misappropriating over $1.16 million from at least seven clients. [read post]
23 May 2019, 7:43 am by Silver Law Group
According to FINRA Disciplinary actions for May 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Bethan, Frank   Quest Capital Strategies, Inc   Wells Fargo Clearing Services, LLC   Cody, Jill   Concorde Investment Services, LLC   Westminster Financial Securities, Inc   Cody, Richard… [read post]
31 Jan 2019, 9:54 am by Silver Law Group
Peter Michael Malis (CRD #317892) is a registered broker and investment advisor currently employed with Wells Fargo Clearing Services, LLC (CRD #19616) of Woodland Hills, CA. [read post]
14 Jun 2017, 12:51 pm by Renae Lloyd
Wells Fargo and Morgan Stanley hit with $1.8 million in claims Two NFL players have hit Wells Fargo and Morgan Stanley with $1.8 million in claims, accusing the firms of not properly supervising a former broker and Miami Beach nightclub owner, Aaron Parthemer. [read post]