Search for: "WELLS FARGO ADVISORS, LLC"
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29 Jun 2020, 6:36 am
Advisor Bryan Benson (Benson), formerly employed by Wells Fargo Clearing Services, LLC (Wells Fargo) has been subject to at least one customer complaint and one regulatory action during the course of his career. [read post]
29 Oct 2021, 8:07 am
Civil and Criminal Fraud Charges Filed against New Jersey Financial Advisor Kenneth Welsh According to the Securities and Exchange Commission on October 28, the regulator charged former Wells Fargo Advisors broker Kenneth A. [read post]
29 May 2019, 8:50 am
Herbert Hafen (CRD#: 867068, aka Elias Herbert Hafen, E Herbert Niggebrugge, Elias Niggebrugge) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of New York, NY. [read post]
27 Oct 2015, 1:48 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Almost 250 ‘Relationship Managers’ and hundreds more operations personnel and executives at Credit Suisse US Private Bank officially may become part of Wells Fargo.Wells Fargo appears to be the bid winner.A common prediction is that most of the advisors with Credit Suisse will end up on Wells Fargo’s UHNW platform - Abbott Downing. [read post]
2 Jul 2015, 3:03 pm
Have you suffered investment losses in Wells Fargo Advantage WI Tax-Free Inv? [read post]
4 Mar 2018, 5:43 am
Wells Fargo Unpaid Overtime Class Action Gets Second Circuit Nod for AAA Arbitration (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3861/wells-fargo-aaa/In 2015, former Wells Fargo Advisors, LLC entry-level financial advisors Reagan Tucker, Benjamin Dooley, Marvin Glasgold, Livia Sappington, Ewa Kelly, and Patrick LaBorde filed putative class arbitrations before ... [read post]
24 Aug 2015, 7:16 am
(King) concerning allegations that from July 2009, through November 2012, while King was registered Morgan Stanley Smith Barney LLC (Morgan Stanley) and later Wells Fargo Advisors, LLC (Wells Fargo), circumvented Wells Fargo’s policies and procedures by assisting another broker in concealing nearly $400,000 in loans to three firm customers, loaned $25,000 to a customer without permission, participated in an… [read post]
14 Jun 2017, 12:51 pm
While registered as an advisor at Morgan Stanley and then Wells Fargo, Parthemer served as a financial advisor to NFL and NBA star athletes. [read post]
4 Aug 2015, 6:48 am
From the Desk of Jim Eccleston at Eccleston Law LLC: A battle between Wells Fargo Advisors and a former employee turned ugly when emails leaked showing the employee purportedly had funneled business to his new firm, while still employed at Wells Fargo.Wells Fargo accuses the rep of funneling business for eight months before he officially left the company. [read post]
27 Apr 2017, 6:02 am
Wells Fargo Advisors, LLC, Respondent (FINRA... [read post]
7 Sep 2016, 11:48 am
Librizzi was most recently with Wells Fargo Advisors LLC before resigning amid allegations. [read post]
7 Sep 2016, 11:48 am
Librizzi was most recently with Wells Fargo Advisors LLC before resigning amid allegations. [read post]
5 Jan 2021, 11:32 am
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) and Wells Fargo Advisors, LLC (CRD#:19616), also of Albuquerque, and Wells Fargo Investments, LLC (CRD#:10582) of Tucson, AZ. [read post]
2 Nov 2012, 7:08 am
Dawn Wiley was associated with Wells Fargo Advisors, LLC and its predecessor Wachovia Securities LLC from 2000 until her termination on January 3, 2012. [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]
7 Feb 2010, 6:45 am
In a case involving 20 advisers in 4 branch offices, a securities arbitration panel has ordered Raymond James Associates Inc. to pay $12.1 million to Wells Fargo Advisors LLC for alleged raiding.The award does not provide any detail of the case, but ordered 10,500,000 in compensatory damages, 1,500,000 in attorneys fees and costs. [read post]
19 Mar 2018, 8:55 am
One creates a circuit split over how specific parties must be to delegate the availability of class arbitration to arbitrators, and the second addresses when bankruptcy law can preempt the federal arbitration act.In Wells Fargo Advisors, LLC v. [read post]
27 Oct 2021, 8:16 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Daniel Pimental (Pimental), most recently employed by Wells Fargo Advisors Financial Network, LLC (Wells Fargo) has been subject to at least three customer complaints during the course of his career. [read post]
7 Mar 2016, 2:53 am
$30 Million Claims By Former Wells Fargo Broker And CustomerDepending upon whether you look at the damages demanded in the initial FINRA Arbitration Statement of Claim or the revision presented at the arbitration hearing, we got two really, really unhappy campers suing Wells Fargo Advisors LLC. [read post]
15 Aug 2014, 4:30 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration 14-00161, August 11, 2014).In response to Claimant’s claims, Respondent Wells Fargo Advisors asserted that it had no objection or opposition to the requested expungement but requested that all fees be assessed against Claimant. [read post]
