Search for: "Wells Fargo Investments LLC"
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24 Oct 2018, 6:19 pm
The post Former Wells Fargo, Stifel Nicolaus & Co. and Benjamin & Jerold Brokers Among Latest to Be Barred by FINRA appeared first on Zamansky LLC. [read post]
24 Jun 2015, 7:33 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Douglas Melzer (Melzer) concerning allegations that between November 2011, and May 2012, while registered with Wells Fargo Advisors, LLC (Wells Fargo), Melzer solicited four customers to invest $2,000,000 in an outside investment without providing his firm notice. [read post]
5 Mar 2009, 12:06 pm
The Boilermaker-Blacksmith National Pension Trust is suing a number of investment banks, credit rating agencies, and underwriters, including Wells Fargo, WFASC, Morgan Stanley & Co., Credit Suisse Securities (USA) LLC, Barclays Capital Inc., Bear Stearns & Co., Countrywide Securities Corp., Deutsche Bank Securities Inc., JPMorgan Chase Inc., Bank of America Corp., Citigroup Global Markets Inc., McGraw-Hill Cos., Moody's Investor Services Inc.,… [read post]
25 Mar 2020, 11:41 am
ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy ETN(LMLP) Mandatory Redemption on March 16, 2020 LMLP Investment Losses Have you suffered losses investing in ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy ETN(LMLP)? [read post]
24 Jan 2016, 8:33 am
The securities lawyers of Gana LLP are investigating a number of customer complaints involving Wells Fargo Advisors, LLC (Wells Fargo) brokers, including financial advisor Charles Lynch (Lynch), concerning allegations that the investors have been recommended or their advisory accounts have been mismanaged to hold high concentrations of energy related investments. [read post]
2 Jul 2015, 3:03 pm
Have you suffered investment losses in Wells Fargo Advantage WI Tax-Free Inv? [read post]
7 Oct 2017, 11:32 am
According to BrokerCheck records, customers have filed about ten complaints with the Financial Industry Regulatory Authority’s (FINRA) against broker Regan Rohl (Rohl), a registered representative with Wells Fargo Advisors Financial Network, LLC (Wells Fargo) out of the firm’s Fargo, North Dakota office location. [read post]
5 Aug 2013, 4:06 am
John Bulkley Meacham and Wells Fargo Advisors, LLC, Respondents (FINRA Arbitration 12-00793, July 30, 2013).Respondents Meacham and Wells Fargo Advisors generally denied the allegations and asserted various a... [read post]
13 Mar 2016, 6:07 am
The investment attorneys of Gana LLP have brought a claim on behalf of an investor who suffered a loss of nearly all of their assets due to investments made by their Wells Fargo Advisors, LLC (Wells Fargo) advisor, Andrew Kevlahan (Kevlahan), almost exclusively in master limited partnerships (MLPs), Business Development Corporations (BDC), commodities linked investments, and other private equity high yield funds. [read post]
15 Mar 2015, 5:46 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Douglas Melzer (Melzer) concerning allegations that Melzer participated in four private securities transactions when four of his Wells Fargo Advisors, LLC (Wells Fargo) customers invested $2,000,000 in a company called Aquatic Synthesis Unlimited (Aquatic Synthesis) through investment contracts that were not approved by Wells Fargo. [read post]
20 May 2022, 6:44 am
The SEC’s order finds that Wells Fargo Advisors, which is the trade name used by Wells Fargo Clearing Services, LLC, a registered broker-dealer and investment adviser subsidiary of Wells Fargo & Company, violated Section 17(a) of the Securities Exchange Act and Rule 17a-8. [read post]
18 Dec 2017, 2:06 pm
According to BrokerCheck records financial advisor William Paynter (Paynter), employed by Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to two customer complaints. [read post]
7 Apr 2011, 10:56 pm
Wells Fargo Securities now manages Wachovia. [read post]
6 May 2011, 7:44 am
The Financial Industry Regulatory Authority (andquot;FINRAandquot;) fined Wells Fargo Advisors, LLC of St. [read post]
12 Sep 2018, 10:06 am
The securities attorneys at Gana Weinstein LLP have been investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Bryan Musso (Musso). [read post]
18 Aug 2017, 6:44 am
If you have questions about investments you made with Wells Fargo Securities, the securities attorneys of The White Law Group may be able to help you. [read post]
2 Oct 2014, 4:21 am
As demonstrated in a recent FINRA arbitration brought against Wells Fargo Securities and Deutsche Bank Securities, those who feel that they were defrauded into such investments are still strapping on the gloves and climbing into the ring. [read post]
4 Jun 2013, 7:48 am
FINRA ordered Wells Fargo Advisors, LLC, as successor for Wells Fargo Investments, LLC, to pay a fine of $1.25 million and to reimburse approximately $2 million in losses to 239 customers. [read post]
30 Apr 2015, 6:32 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) Wells Fargo Advisors, LLC (Wells Fargo) broker Joseph DiRago Jr. [read post]
2 May 2012, 6:14 am
("UBS") and Wells Fargo Advisors, LLC ("Wells Fargo") a total of $9.1 million for selling more than $27 billion of complex, non-traditional exchange traded funds ("ETFs") to investors for whom the exotic ETFs were unsuitable. [read post]
