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5 Dec 2017, 7:50 am
The Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) to pay more than $3.4 million in restitution to customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures concerning the sales of these products. [read post]
20 Dec 2022, 7:10 pm
The Consumer Financial Protection Bureau (CFPB) Tuesday ordered Wells Fargo to pay $3.7 billion regarding its “widespread mismanagement” affecting over 16 million consumer accounts. [read post]
29 Apr 2024, 1:40 pm
FINRA Bars ex-Wells Fargo Advisors Broker Andrew Egber after Allegations of Theft According to public records, FINRA, the self-regulator, has reportedly barred financial advisor Andrew Egber (CRD#: 1894585) from working in the securities industry. [read post]
16 Mar 2018, 10:08 am
Gary Gray, a former Las Vegas-based Wells Fargo broker was suspended from the industry for three months by the Financial Industry Regulatory Authority (FINRA). [read post]
24 Feb 2020, 6:41 am
Wells Fargo also asked the SEC to waive bad actor disqualification.The charges center around Wells Fargo’s longstanding former practice of pressuring employees to cross-sell financial products. [read post]
15 Dec 2010, 8:36 am
" Huzzah, Wells Fargo! [read post]
28 Oct 2010, 5:31 am
Wells Fargo described the mistakes as technical and said it has no plans to halt the foreclosure process, though filing new paperwork will cause some delays. [read post]
17 Sep 2021, 1:19 pm
The post Was Wells Fargo Complicit In A Ponzi Scheme? [read post]
14 Apr 2016, 12:00 pm
Wells Fargo admits deception in $1.2 billion U.S. mortgage accord | Reuters: [read post]
20 Dec 2021, 9:58 am
Supervisory Failures Allegedly Resulted in Unsuitable Trades and Rollovers Wells Fargo Clearing Services and Wells Fargo Advisors have arrived at a settlement with the Financial Industry Regulatory Authority (FINRA). [read post]
9 Jun 2023, 11:52 am
A judge in Georgia has ruled that Wells Fargo and its counsel “manipulated” the Financial Industry Regulatory Authority’s arbitrator selection process and violated the FINRA Code [...] [read post]
19 Sep 2016, 10:00 am
The Consumer Financial Protection Bureau fined Wells Fargo $100 million after it was discovered bank employees had opened two million bank accounts for customers without their permission. [read post]
22 Jan 2024, 12:16 pm
Wells Fargo’s brokerage subsidiary has been fined $425,000 by the Financial Industry Regulatory Authority (Finra) for allegedly misreporting trade prices on millions of client transactions. [read post]
12 Jun 2019, 12:00 pm
Wachovia was a Wells Fargo acquisition in 2008. [read post]
18 Apr 2008, 9:01 pm
Investment Products: NOT FDIC Insured NO Bank Guarantee MAY Lose Value The Wells Fargo Family Wealth Group provides financial products and services through Wells Fargo Bank, N.A. and its affiliates. [read post]
7 Jul 2021, 9:36 am
FINRA launched the investigation after Wells Fargo terminated Mr. [read post]
6 Mar 2020, 7:19 am
The committee staff found that financial regulators knew about deficiencies at Wells Fargo for years without alerting the public to its non-compliance. [read post]
16 Dec 2011, 7:01 am
The Financial Industry Regulatory Authority (FINRA) announced that is has fined Wells Fargo Investments, LLC (Wells Fargo) $2 million related to the sales of unsuitable reverse convertible notes to elderly customers. [read post]
20 Apr 2018, 10:54 am
Two federal regulators on Friday announced [press release] a $1 billion settlement with Wells Fargo [official site] after finding [text, PDF] that the the bank violated the Consumer Financial Protection Act. [read post]
16 Mar 2009, 2:02 pm
Wells Fargo's chairman, Richard M. [read post]
