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31 Jan 2019, 9:54 am
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 Apr 2010, 2:05 pm
The Massachusetts state government will soon start moving its money out of accounts it has on deposit in Citi, Bank of America, and Wells Fargo because those giant banks have refused to cap their interest rates at 18 percent. [read post]
28 Aug 2016, 9:05 pm
Wells Fargo declines to serve firm that sells knives online, which might related to a “mass de-risking” trend that followed Operation Choke Point [Kelsey Harkness/Daily Signal, H. [read post]
16 Sep 2015, 6:59 pm
Wells Fargo assumed control of the husband's other trusts. [read post]
9 Jan 2018, 9:16 am
Samuel B Rankin CRD#811491 Silver Law Group is investigating Charlotte, North Caroline-based UBS Financial Services broker Samuel Rankin following a customer complaint alleging unsuitable investment recommendations. [read post]
20 Feb 2021, 7:20 am
I found the following in my inbox this morning: Facebook, Twitter, United Airlines and other large companies pledge to boost numbers of diverse leaders ("Nowhere in corporate America have I seen these metrics or an initiative with these types of... [read post]
23 Sep 2016, 5:47 am
Unfortunately, a number of folks at Wells Fargo may be having an "ah ha! [read post]
10 Oct 2022, 4:49 am
FINRA Censures and Fines Former Raymond James SVP for Signing Letters of Credit for Customer (BrokeAndBroker.com Blog)Keeping Up With Kenny -- Not the Kardashians (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC and Again at FINRA (BrokeAndBroker.com Blog)Wells Fargo suit against ex-lawyer 'unusual,' could have 'chilling effect' (Financial Planning by Victoria Zhuang)OFAC Settles with Bittrex, Inc. for $24,280,829.20… [read post]
19 Dec 2022, 3:25 am
FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto Loans, Mortgages, and Deposit Accounts / Company repeatedly misapplied loan payments,… [read post]
19 Dec 2022, 3:25 am
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto… [read post]
25 Jul 2022, 4:10 am
Former Wells Fargo Advisors Senior Vice President Moves Federal Court to Undo 2017 FINRA Settlement (BrokeAndBroker.com Blog)Justice Department and Consumer Financial Protection Bureau Secure Agreement with Trident Mortgage Company to Resolve Lending Discrimination Claims / Settlement Provides Over $20 Million to Increase Credit Opportunities in Neighborhoods of Color / First Redlining Settlement Against Mortgage Company; Second Largest Redlining Settlement in Justice Department… [read post]
8 Aug 2013, 7:26 am
From 2007 through June 2012, she was registered with Wells Fargo Advisors. [read post]
13 May 2022, 8:59 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6454/securities-industry-commentator/5Cir Issues Historic Rebuke Of SEC ALJ System (BrokeAndBroker.com Blog)SEC Charges Wells Fargo Advisors With Anti-Money Laundering Related Violations (SEC Release)Tequila Entrepreneur Sentenced To Prison For Securities Fraud (DOJ Release)Brazilian National Pleads Guilty in Nationwide Fraud that… [read post]
16 Jul 2021, 7:08 am
FINRA Fines and Suspends Rep For Seeking COVID Loan (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5966/finra-awc-covid/A former Wells Fargo employee ... [read post]
30 Jan 2023, 4:17 am
The SEC Toys With A Dead FINRA Expungement Mouse for 50 Months (BrokeAndBroker.com Blog) Federal Appellate Court Affirms Dismissal of Wells Fargo and FINRA (BrokeAndBroker.com Blog) DOJ RELEASES U.S. [read post]
7 Nov 2020, 3:38 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5531/securities-industry-commentator/Tulare County Man Arrested for Over $8 M Fraud that Purported to Turn Cow Manure into Renewable Energy (DOJ Release)SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric (SEC Release)Michigan and New Jersey Men Admit Participating in $10 Million Multi-State… [read post]
23 Sep 2016, 5:56 am
Unfortunately, a number of folks at Wells Fargo may be having an "ah ha! [read post]
16 Aug 2019, 8:00 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/XXXX/securities-industry-commentator/Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4759/securities-industry-commentator/Louis "The Coin" Colavecchio Sentenced to Prison for Counterfeiting $100 Bills (DOJ Release)Here’s how flattening… [read post]
1 May 2017, 11:35 am
From SCOTUSBlog:The Supreme Court handed a partial but significant victory to cities today, holding that the Fair Housing Act allows the city of Miami to bring a lawsuit alleging that two banks, Bank of America and Wells Fargo, violated the law when they issued riskier but more costly mortgages to minority customers than they had offered to white borrowers. [read post]
21 Aug 2020, 12:18 am
SEC Charges Former Brokers with IIIegally Selling Securities (SEC Release)SEC Obtains Summary Judgment Against Municipal Bond "Flippers" (SEC Release)Federal Court Tells Interactive Brokers to Comply With FINRA Panel’s $1M Ruling: Right or Wrong (FINOPS Report by Chris Kentouris)Philadelphia Tax Preparer Sentenced to Five Years for Fraud (DOJ Release)Owners Of South Bay Businesses Sentenced To Prison For Investment Fraud Conspiracy And Related Crimes / Jennifer Yang and Daniel Wu also… [read post]
