Search for: "Wells Fargo Investments LLC"
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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]
18 Nov 2009, 1:45 pm
Wells Fargo Investments LLC will repay about $1.3 billion to investors, charities and small businesses whose funds were frozen in the auction-rate securities market in the latest of a series of settlements with state securities regulators, an industry association said on Wednesday. [read post]
18 Apr 2008, 9:01 pm
Wells Fargo Private Bank and Private Client Services provide teams of experienced local professionals who advise clients on complex financial issues, and provide them with investment management, private banking, trust and estate, insurance and brokerage services provided through Wells Fargo Investments, LLC. [read post]
30 May 2018, 1:18 pm
Continue reading The post Silver Law Group is Investigating Jeffrey Palish of Wells Fargo Clearing Services, LLC for Elder Financial Fraud appeared first on Securities Arbitration Lawyers Blog. [read post]
12 Jun 2019, 12:00 pm
Loreley claims that Wells Fargo let Magnetar Capital LLC, a hedge fund, control the CDOs even as it bet against them. [read post]
18 Nov 2009, 11:54 am
Wells Fargo Investments LLC agreed to return approximately $1.3 billion to the firm's clients who have had their funds frozen in... [read post]
30 Mar 2020, 2:22 pm
Last month Wells Fargo Advisors Financial Network LLC agreed to settle administrative charges brought by the SEC, and will pay a $35 million civil penalty in order to resolve the matter. [read post]
16 Dec 2011, 6:04 am
FINRA fined Wells Fargo Investments, LLC, $2 million for unsuitable sales of reverse convertible securities through one broker to 21 customers, and for failing to provide sales charge discounts on Unit Investment Trust (UIT) transactions to eligible customers. [read post]
30 May 2018, 1:27 pm
Continue reading The post Silver Law Group is Investigating Marcus Parker of Wells Fargo Clearing Services, LLC appeared first on Securities Arbitration Lawyers Blog. [read post]
30 Sep 2022, 6:47 am
James Seijas (James Alan Seijas CRD# 2392901) is a former broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Short Hills, NJ. [read post]
6 Apr 2011, 9:25 am
Investment deals involving collateral-debt obligations (CDOs) have come back to haunt Wells Fargo & Co. [read post]
17 May 2019, 11:20 am
(CRD#: 2504369, aka “Will” or “Wilfredo”) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Boca Raton, FL. [read post]
20 Dec 2011, 1:47 pm
A subsidiary of Wells Fargo Bank, Wells Fargo Investments LLC changed its name to Wells Fargo Advisors LLC in March 2010 when it merged with Wachovia Securities LLC at the same time its parent bank merged with Wachovia Bank. [read post]
29 Apr 2024, 1:40 pm
Egber was reportedly accused of theft by his former employer, Wells Fargo, according to an article in Investment News this week. [read post]
11 Jun 2019, 9:29 am
According to BrokerCheck records financial advisor Leonard Kinsman (Kinsman), currently employed by Wells Fargo Advisors Network, LLC (Wells Fargo) has been subject to at least five customer complaints during the course of his career. [read post]
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 Dec 2020, 12:12 pm
Weith, who was a Wells Fargo broker from 2012 to 2019 in Naples, Florida, became a registered investment advisor for Equitable Advisors, LLC, in Columbia, Maryland from January to October of 2020. [read post]
8 Mar 2022, 6:56 am
The post Attorney Jake Zamansky Comments on Wells Fargo’s Appeal of Fraud Ruling in Financial-Planning.com appeared first on Zamansky LLC. [read post]
15 Jun 2011, 9:53 pm
About Wells Fargo Wells Fargo Home Mortgage is the nations leading mortgage lender and services one of every six mortgage loans in the nation. [read post]
17 Sep 2021, 1:19 pm
The post Was Wells Fargo Complicit In A Ponzi Scheme? [read post]
