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18 May 2016, 8:28 am by Thompson & Knight LLP
Bank National Association, as indenture trustee; (iii) $2.2 billion pursuant to several senior unsecured notes with Wells Fargo Bank National Association, as indenture trustee; and (iv) $88 million pursuant to certain indentures with U.S. [read post]
19 Jan 2021, 8:16 am by Staff Attorney
Hanaur & Company, Smith Barney Inc., Citigroup Global Markets Inc., Wells Fargo Clearing Services LLC and is currently working for Raymond James & Associates, Inc. [read post]
1 May 2014, 6:40 am by D. Daxton White
Promissory Notes (often called up-front forgivable loans) are commonly used as a recruiting tool by many of the major brokerage firms in the securities industry, including Morgan Stanley Smith Barney, Banc of America Investment Services, Wells Fargo, Merrill Lynch, Ameriprise , and UBS Financial Services. [read post]
2 May 2016, 12:43 pm by Thompson & Knight LLP
  According to the declaration of Midstates’ Chief Financial Officer, Nelson M. [read post]
14 Sep 2018, 8:00 pm by ccollins
Steele Financial is Accused of Investor Fraud The US Securities and Exchange Commission has filed civil charges against investment advisory firm Steele Financial Inc. and its owner Tamara Steele. [read post]
7 Jan 2012, 3:13 pm
The other financial firms, ranking in the order that follows, are Charles Schwab, TD Ameritrade, Etrade, Fidelity Brokerage Services, WellsTrade (Wells Fargo), Merrill Edge/Bank of America, and Morgan Stanley Smith Barney LLC. [read post]
29 Jul 2011, 5:10 pm
Inc., the Securities Industry and Financial Markets Association and the Securities and Exchange Commission have submitted separate amicus curiae briefs to the U.S. [read post]
31 Dec 2017, 5:12 pm by Wolfgang Demino
Did two justices on the Houston Court of Appeals just do Wells Fargo a big favor by preempting the Texas Supreme Court in gutting the statute of limitations? [read post]
31 Dec 2017, 5:12 pm by Wolfgang Demino
Did two justices on the Houston Court of Appeals just do Wells Fargo a big favor by preempting the Texas Supreme Court in gutting the statute of limitations? [read post]
26 Jul 2019, 1:24 pm by ccollins
Five of the firms that self-reported collectively paid over $30M in restitution:  Raymond James Financial Services (RJF) Wells Fargo Advisors (WFC) Raymond James & Associates Wells Fargo Advisors Financial Network LPL Financial (LPLA) Several months later, Edward Jones, AXA Advisors, Janney Montgomery Scott, Stifel Nicolaus & Company (SF), and Stephens Inc. collectively agreed to pay $18M in restitution to… [read post]
9 Jun 2014, 11:14 am by Law Lady
Wells Fargo had called the cell phone number used by the child to collect a debt from a former customer who had listed the phone number on a Wells Fargo account application. [read post]
17 Feb 2008, 11:24 pm
Bibby performed restructuring and due diligence advisory services for notable clients including Kellogg, Brown & Root and Wells Fargo Bank. [read post]
7 Apr 2022, 3:17 pm by Zak Gowen
That’s one question raised by payments-industry experts after The Wall Street Journal reported Wednesday that Bank of America Corp. and Wells Fargo & Co. [read post]