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25 Jul 2019, 5:09 am
Imagine if 7 of the Hearing Officers were former in-house counsel at Wells Fargo or JP Morgan, and the other 3 were former lawyers at major law firms representing financial services firms. [read post]
26 Apr 2019, 1:47 am
FINRA Bars Former Merrill Lynch and Wells Fargo Rep. [read post]
30 Jul 2019, 9:28 am
Wells Fargo Advisors, LLC and David W. [read post]
27 Jan 2014, 7:01 am
Category: Recent Decisions;Foreclosure Opinions Body: AC34726 - Wells Fargo Bank, N.A. v. [read post]
17 Sep 2022, 9:15 am
Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers (BrokeAndBroker.com Blog)SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)Former U.S. [read post]
10 Nov 2015, 5:23 am
Don't Miss Bill Singer's CASE IN POINT Video Series Wall Street Legal, Regulatory and Compliance Issues Final Episode To Be Released On November 24th November 17, 2015: Veteran industry attorney and BrokeAndBroker.com Blog publisher Bill Singer talks with Brittany Weiner, attorney with Imbesi Law PC, about former Wells Fargo broker Donna Sabb, and a family feud that spilled over into FINRA arbitration; Sabb, who was sued by her nieces and a nephew over… [read post]
2 Nov 2020, 8:07 am
This time, he's following gamblers.The Wells Fargo Manager's Wife's Signature on Mortgage Forms (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/552... [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)If you lost money in crypto, here's how you can get some back / Investors want to flee crypto funds, like those at Anthony Scaramucci's SkyBridge. [read post]
21 Feb 2017, 2:03 am
In any event, join me at the illustrious parking garage at Wells Fargo's office where FINRA is aggressively protecting vulnerable investors from the abuses of validated parking! [read post]
3 Apr 2020, 2:27 am
FINRA Statement on SEC's OCIE Risk Alerts for Reg BI and Form CRS (FINRA Release)The Fed is lifting Wells Fargo's asset cap so it can help lend to small business (CNBC by Jeff Cox)Farmers Are Panic-Buying to Keep America’s 95 Million Cows Fed / Fears of feed mill closures and trucking delays are driving the market. [read post]
27 Feb 2023, 3:10 am
Federal Court Deems FINRA Absolutely Immune in Expungement Lawsuit (BrokeAndBroker.com Blog) 4Cir Remands SEC's Case To District Court For Some Old Fashioned Jury Muddling (BrokeAndBroker.com Blog) JOIN the Financial Professionals Coalition, Ltd DOJ RELEASES Niagara Falls Woman Going To Prison For Stealing Hundreds Of Thousands Of Dollars From Investment Firm Clients (DOJ Release) Wells Fargo Agrees to Training on New Companywide… [read post]
31 May 2022, 8:09 am
Letter from United States Senate Committee on Banking, Housing, and Urban Affairs Chairman Sherrod Brown to Wells Fargo & Company President/Chief Executive Officer Charles W. [read post]
17 Sep 2022, 9:15 am
Ungerleider, Candidate for FINRA 2022 Small Firm Member of the National Adjudicatory Council / FINRA and We Have Skin in the Game (BrokeAndBroker.com Blog)Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers (BrokeAndBroker.com Blog)FINRA Fines and Suspends Former Rep for Non-disclosure of Misdemeanor Theft ChargeIn the Matter of Jimmie Scott Griffea, Respondent (FINRA AWC)FINRA Censures and Fines IBN Financial Services, Inc. for OBA SupervisionIn the… [read post]
13 Nov 2017, 3:59 am
Justice Department Obtains $5.4 Million in Additional Relief to Compensate Servicemembers for Unlawful Repossessions by Wells Fargo Dealer Services (Department of Justice Press Release) https://www.justice.gov/opa/pr/justice-department-obtains-54-million-additional-relief-compensate-servicemembers-unlawfulThe Servicemembers Civil Relief Act ("SCRA") requires a court to review and approve any repossession if the servicemember took out the loan and made a payment… [read post]
19 Dec 2022, 3:25 am
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, wrongfully foreclosed on homes and illegally repossessed vehicles, incorrectly assessed fees and interest, charged… [read post]
17 Jan 2020, 12:06 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5023/securities-industry-commentator/OCC Issues Notice of Charges Against Five Former Senior Wells Fargo Bank Executives, Announces Settlement With Others (OCC Release)Did a Federal Court Mistakenly Deem FINRA a Federal Prosecutor? [read post]
24 Oct 2017, 10:00 pm
The recent eDiscovery failures at Wells Fargo and at the Department of Justice show that eDiscovery mistakes and failures happen even at the largest corporations and government agencies. [read post]
16 Aug 2019, 8:00 am
After many years of employment at Wells Fargo, two reps decided to join another firm. [read post]
27 Aug 2022, 9:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6635/securities-industry-commentator/Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options (BrokeAndBroker.com Blog)Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light (BrokeAndBroker.com Blog)US Department of Labor orders Wells Fargo to pay more than $22M for retaliating against executive that alleged… [read post]
22 Sep 2016, 7:31 am
Unfortunately, a number of folks at Wells Fargo may be having an "ah ha! [read post]
