Search for: "WELLS FARGO FINANCIAL, INC."
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3 Apr 2012, 1:27 pm
Equal Employment Opportunity Commission (EEOC) announced that Wells Fargo Financial Michigan, Inc. agreed to pay $55,000 to settle an age and race discrimination suit. [read post]
9 Jun 2023, 7:44 am
A Georgia Superior Court judge took a serious whack at Wells Fargo Advisors, as well as the Financial Industry Regulatory Authority Inc., in a January order that dismissed an arbitration claim that Wells Fargo had won 2½ years ago involving a client who sued the firm for mismanaging his account. [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
17 Apr 2015, 11:00 am
Financial Services, Inc. [read post]
28 Apr 2009, 11:04 am
"Several financial-service companies that issued auction-rate debt have agreed to repurchase billions of dollars of the devalued securities to settle claims by regulators that they defrauded investors.Last month, Wachovia Corp., which Wells Fargo acquired last year, agreed to repurchase $1.5 billion of the securities from California investors in a settlement with the state Department of Corporations that also included a division of Citigroup Inc. [read post]
18 Apr 2012, 3:18 am
” Memorandum of Decision and Order at 1, Wells Fargo Advisors, LLC v. [read post]
2 Oct 2014, 4:21 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013 and thereafter amended, Claimant Fernandez asserted breaches of contract and fiduciary duty; fraud; churning; and manipulation against Respondents Wells Fargo Securities, LLC and Deutsche Bank Securities, Inc... [read post]
5 Aug 2013, 4:06 am
John Bulkley Meacham and Wells Fargo Advisors, LLC, Respondents (FINRA Arbitration 12-00793, July 30, 2013).Respondents Meacham and Wells Fargo Advisors generally denied the allegations and asserted various a... [read post]
18 Nov 2008, 2:04 am
As it's spun out by Wachovia, one could argue that Wachovia, near financial death, out-negotiated Wells Fargo on this deal. [read post]
18 Mar 2010, 11:12 am
The United States Court of Appeals for the 9th Circuit ruled in favor of Wells Fargo Home Mortgage Inc., WFC Holdings Corporation, Wells Fargo & Company, and Wells Fargo Financial Services Inc. on the issue of whether overcharging a settlement service fee to the consumer violates the real estate settlement procedures act (RESPA). [read post]
2 Dec 2011, 10:44 am
Massachusetts Attorney General Martha Coakley filed a lawsuit on December 1, 2011 against JPMorgan Chase & Co., Bank of America Corp., Citigroup Inc., Wells Fargo & Co., and Ally Financial Inc., in state court in Boston. [read post]
19 Dec 2016, 7:44 am
Last week, the Financial Industry Regulatory Authority Inc. said it wanted to speak to any fired Wells Fargo reps about cross selling at the bank and its retail brokerage, apparently more fallout from the recent scandal. [read post]
25 May 2011, 10:36 pm
According to the New Jersey Bureau of Securities, Wells Fargo Investments Inc. [read post]
26 Jun 2014, 5:00 am
Wells Fargo does not provide privileges to executives for items like financial planning, automobiles, or club memberships except for security or business reasons. [read post]
10 May 2019, 11:37 am
Wells Fargo Bank, N.A. [read post]
3 May 2012, 8:15 pm
Wells Fargo & Co. [read post]
27 Aug 2018, 10:36 am
He was previously employed by UBS financial services inc. [read post]
24 Dec 2019, 11:00 am
Leonard Charles Kinsman (CRD: #2816535) is a former registered broker and investment advisor whose last employer was Wells Fargo Advisors Financial Network, LLC (CRD#:11025) of Staten Island, NY, until 7/4/2019. [read post]
18 Mar 2010, 11:12 am
The United States Court of Appeals for the 9th Circuit ruled in favor of Wells Fargo Home Mortgage Inc., WFC Holdings Corporation, Wells Fargo & Company, and Wells Fargo Financial Services Inc. on the issue of whether overcharging a settlement service fee to the consumer violates the real estate settlement procedures act (RESPA). [read post]
