Search for: "Wells Fargo Funding"
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27 Dec 2023, 2:02 pm
The post Louis Goff, Wells Fargo Advisor, Barred by FINRA appeared first on The White Law Group. [read post]
28 Feb 2020, 10:38 am
March 11, 2019 – Wells Fargo entities were among the investment advisors settling charges that they placed clients in higher-cost mutual fund share classes in order to receive a share of the higher 12-b1 fees charged on those investments. [read post]
Wells Fargo faces SEC investigation regarding its cash sweep options for investment advisory clients
1 Nov 2023, 1:53 pm
Securities and Exchange Commission is probing Wells Fargo’s (NYSE:WFC) cash sweep options for investment advisory clients, the bank disclosed in a recent SEC filing. [read post]
12 Jan 2012, 2:28 pm
As a result of this significant fine by FINRA, the attorneys at Eccleston Law are actively seeking investors who have suffered losses in reverse convertibles sold through Wells Fargo & Co. [read post]
21 Mar 2019, 9:01 pm
” “Wells Fargo raising its minimum hourly pay rate. [read post]
3 Jan 2019, 11:33 am
Before Wells Fargo, Schmidt was registered with Stifel, Nicolaus, & Co. [read post]
14 Feb 2022, 10:37 am
” Welsh was reportedly discharged from Wells Fargo in June over allegations he had misappropriated funds. [read post]
11 Nov 2016, 6:43 am
Wells Fargo, a company with a storied history in this country, engaged in fraud on a herculean level when thousands of its employees opened accounts and moved funds about resulting in bank customers being charged fees for services they knew nothing about. [read post]
18 Jan 2018, 8:43 am
Wells Fargo mediated a settlement in which Krupnick reportedly repaid his brother $121,000, funds he claimed his brother had loaned him, and Wells Fargo contributed $22,000 to make him whole, according to FINRA. [read post]
8 Mar 2018, 6:57 am
According to reports yesterday, Wells Fargo is suing LJM Partners LTD, a Chicago fund manager for $16.4 million for having allegedly missed required margin payments. [read post]
17 May 2019, 11:20 am
The post FINRA Bars Wilfred Rodriquez, Jr., Wells Fargo Boca Raton Office appeared first on Securities Arbitration Lawyers Blog. [read post]
26 Apr 2017, 6:12 am
To meet sales quotas, receive incentive compensation and please superiors, thousands of Wells Fargo employees (5000 in recent years) falsified bank records, forged customer signatures, opened more than 2000 unauthorized checking or savings accounts for non-consenting customers, charged improper fees, and illegally transferred customer funds. [read post]
26 Apr 2017, 6:12 am
To meet sales quotas, receive incentive compensation and please superiors, thousands of Wells Fargo employees (5000 in recent years) falsified bank records, forged customer signatures, opened more than 2000 unauthorized checking or savings accounts for non-consenting customers, charged improper fees and illegally transferred customer funds. [read post]
6 Dec 2013, 12:42 pm
ORIGINAL CREDITOR PROFILE: WELLS FARGO BANK, N.A. [read post]
11 Mar 2019, 2:17 pm
The SEC’s complaint notes that at the time that Wells Fargo fired Schmidt, he had about 325 retail brokerage customers. [read post]
6 Sep 2019, 10:41 am
WELLS FARGO BANK, NA VS. [read post]
14 Dec 2021, 9:00 am
The regulator censured and fined Wells Fargo Advisors Financial Network $100,000; and censured and fined Wells Fargo Clearing Services $550,000 plus $2.083 million in restitution. [read post]
3 Oct 2017, 11:25 am
The law firm is investigating sales of Puerto Rico municipal bonds by large U.S. based brokerage firms such as Wells Fargo and Morgan Stanley to their brokerage customers. [read post]
6 Oct 2008, 2:16 pm
The FDIC is funded by BANKS who pay insurance. [read post]
25 Nov 2013, 6:19 am
Wells Fargo employs over 20,000 registered individuals and maintains over 7,000 registered locations. [read post]
