Search for: "Wells Fargo Financial Texas, Inc" Results 1 - 20 of 47
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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]
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]
28 Mar 2018, 10:34 am by Fitapelli Kurta
Previous registrations include Wells Fargo Advisors in Norwalk, Connecticut (2008-2010); AG Edwards & Sons in Norwalk, Connecticut (1989-2008); McLaughiln Piven Vogel Securities in New York, New York (1977-1989); Smith Barney Harris Upham & Company in New York, New York (1989); and Richard Franklin (1976-1981). [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]
6 Sep 2017, 12:03 pm
EXXON MOBIL CORPORATION ET AL, ATTY BLIZZARD, JOSEPH ET AL WELLS FARGO BANK NA, ATTY QUIJADA, EDGAR vs. [read post]
19 May 2017, 6:08 am
Marcogliese, Cleary Gottlieb Steen & Hamilton LLP, on Tuesday, May 16, 2017 Tags: Accountability, Banks, Board independence, Board leadership, Boards of Directors, Compliance & ethics, Corporate culture, Disclosure, Incentives, Management, Misconduct, Oversight, Reputation, Wells Fargo, Whistleblowers Reviving the U.S. [read post]
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]
18 May 2016, 8:19 am by Dennis Crouch
Texas court improperly applied “a special, heightened burden of proof. [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]
12 May 2015, 3:26 pm by James Galvin
Notably, the issuers of RCNs are generally large financial institutions, such as UBS, while the investor is typically an unsophisticated individual who is attracted by the high coupon rate and doesn’t understand the level of risk that comes with these highly complex structured investments. [read post]