Search for: "WELLS FARGO ADVISORS, LLC"
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20 May 2022, 6:44 am
Wells Fargo Advisors, the St. [read post]
29 Apr 2024, 1:40 pm
FINRA has reportedly barred Egber, a former Wells Fargo Advisor broker after his alleged refusal to produce requested information and documents. [read post]
11 Jun 2019, 9:29 am
According to BrokerCheck records financial advisor Leonard Kinsman (Kinsman), currently employed by Wells Fargo Advisors Network, LLC (Wells Fargo) has been subject to at least five customer complaints during the course of his career. [read post]
24 Oct 2017, 5:35 am
The Financial Industry Regulatory Authority (FINRA) has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million in restitution to customers for alleged unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures, according to InvestmentNews. [read post]
29 Nov 2017, 12:00 am
The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC $3.4 Million as required restitution relative to unsuitable recommendations involving volatility-linked Exchange Traded Products (ETP’s) and related supervisory failures related to these investments. [read post]
25 Aug 2023, 7:20 am
The Securities and Exchange Commission charged Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC (collectively, Wells Fargo) for overcharging more than 10,900 investment advisory accounts more than $26.8 million in advisory fees. [read post]
25 May 2012, 2:53 pm
Peter Yan Hong; Wallace Lawrence Key; Wells Fargo Adivsors, LLC, Respondents v. [read post]
19 Jul 2018, 6:39 am
On June 25, 2018, Wells Fargo Advisors, LLC agreed to an Order settling charges brought by the Securities and Exchange Commission relating to Wells Fargo’s use of Market-Linked Investments (“MLIs”). [read post]
3 Nov 2015, 12:43 pm
Domestic Private Banking business an opportunity to transition to Wells Fargo’s brokerage business, Wells Fargo Advisors, LLC (“Wells Fargo Advisors”), by early 2016. [read post]
17 Jan 2017, 6:21 am
The reason for the elimination of this bonus compensation for advisors stems from the most recent scandal involving Wells Fargo Advisors’ parent bank Wells Fargo & Co. [read post]
5 May 2011, 12:43 pm
FINRA fined Wells Fargo Advisors, LLC of St. [read post]
22 Feb 2013, 11:39 am
Here is the tribe’s press release: MOAPA DISMISSES TRIBAL COURT ACTION Moapa, NV –The Moapa Band of Paiute Indians today announced that it and Wells Fargo Financial Advisors LLC had agreed to submit to mediation certain issues between the parties, and that the Band had caused dismissal of an action against Wells Fargo Financial Advisors commenced in the Tribe’s tribal court. [read post]
20 Aug 2021, 2:28 pm
Hajra consented to the suspension after FINRA alleged that, while associated with Wells Fargo Clearing Services, LLC in Marietta, GA, Mr. [read post]
30 Mar 2020, 2:22 pm
Last month Wells Fargo Advisors Financial Network LLC agreed to settle administrative charges brought by the SEC, and will pay a $35 million civil penalty in order to resolve the matter. [read post]
29 Oct 2015, 2:10 pm
Wells Fargo spokesman stated in an email that Wells Fargo plans to dispute the suit.Wells Fargo advisors in other states should seek counsels to evaluate their claims.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
26 Jun 2018, 11:45 am
Wells Fargo Advisors LLC reportedly agreed to settle charges of misconduct. [read post]
7 Jul 2021, 9:36 am
Rigsbee was associated with Wells Fargo Clearing Services, LLC in Sacramento, CA, from October 2016 until April 2021. [read post]
30 Sep 2022, 6:47 am
James Seijas (James Alan Seijas CRD# 2392901) is a former broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Short Hills, NJ. [read post]
17 May 2019, 11:20 am
(CRD#: 2504369, aka “Will” or “Wilfredo”) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Boca Raton, FL. [read post]
28 Dec 2020, 12:12 pm
Weith, who was a Wells Fargo broker from 2012 to 2019 in Naples, Florida, became a registered investment advisor for Equitable Advisors, LLC, in Columbia, Maryland from January to October of 2020. [read post]
