Search for: "Wells Fargo Securities International Limited"
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6 Apr 2011, 11:28 am
Wells Fargo agreed to pay disgorgement of $6.75 million and a penalty of $4.45 million. [read post]
21 Mar 2019, 9:01 pm
”Stricter internal supervision: “2000 new risk managers hired in the last 2 years at Wells Fargo. [read post]
6 Aug 2018, 6:48 am
After receiving these results, Wells Fargo conducted further internal testing. [read post]
6 May 2011, 7:44 am
Our practice is limited to the representation of investors in claims against stockbrokers and investment professionals for fraud, the sale of unsuitable securities, excessive activity, breach of fiduciary duty, and the failure to supervise. [read post]
24 Apr 2015, 11:46 am
Parthemer were never disclosed to Wells Fargo. [read post]
9 Nov 2017, 6:31 am
Godoy guaranteed the promissory note.GDG defaulted on the note, and Wells Fargo — Wachovia's successor by merger and holder of the note — foreclosed on the real property securing the note on November 1, 2011. [read post]
9 Nov 2017, 6:31 am
Godoy guaranteed the promissory note.GDG defaulted on the note, and Wells Fargo — Wachovia's successor by merger and holder of the note — foreclosed on the real property securing the note on November 1, 2011. [read post]
14 Dec 2011, 2:45 pm
Wachovia merged with Wells Fargo in March 2010. [read post]
30 Aug 2013, 7:20 am
Personal bankers seeking to bring a class-action wage suit against Wells Fargo and Wachovia Bank (acquired by Wells Fargo in 2008) were unable to show that they were subjected to a common policy of denying overtime pay or that class-wide issues predominated, a federal district court in New York held, rejecting their bid for Rule 23 certification of their New York Labor Law (NYLL) claims (Fernandez v Wells Fargo Bank, NA, August 28, 2013, Castel,… [read post]
8 Nov 2012, 1:38 pm
Although he had promised that the investor’s exposure to Collybus would be limited, by the middle of 2008 its exposure was almost double. [read post]
2 Apr 2022, 5:22 am
A Wells Fargo broker who traded a client's account after he died was fired and sanctioned by FINRA.According to FINRA, the broker was terminated from Wells Fargo "after internal review revealed that advisor entered stop loss orders in account of deceased customer, per prior discussion, not knowing client was deceased. [read post]
22 Dec 2017, 6:07 am
McDermott (McCarter & English LLP), on Friday, December 15, 2017 Tags: Delaware articles, Delaware cases, Delaware law, Holder claims, Liability standards, Reliance, Securities fraud, Securities litigation, Shareholder suits, State law Analysis of Wells Fargo Shareholder Litigation Posted by Brad S. [read post]
25 Sep 2013, 1:08 am
-Listed Chinese Companies: As has been well-noted (on this site and elsewhere), in 2011 and 2012, plaintiffs’ lawyers filed a host of securities class action lawsuits against U.S. [read post]
13 Apr 2012, 11:49 am
The Commission is investigating Wells Fargo’s sale of nearly $60 billion in residential mortgage-backed securities ("RMBS") to investors. [read post]
27 Mar 2023, 9:01 pm
Several cases pending at the circuit court level may have wide-ranging effects on securities litigation as well. [read post]
1 Apr 2009, 2:14 am
Just to cite one specific counting challenge, I refer to the complaints that have been filed in connection with Wells Fargo’s Mortgage Pass-Through Certificate offerings. [read post]
7 Oct 2021, 9:07 am
But the fall-out wasn’t limited to Wells Fargo. [read post]
23 Apr 2016, 10:52 am
From December 2009 until October 2010, Shapiro was registered with Wells Fargo Advisors, LLC. [read post]
4 May 2022, 1:31 pm
Wells Fargo Bank (Evictions) U.S. [read post]
28 Jul 2017, 8:03 am
Also see Wells Fargo Bank, N.A. v. [read post]
