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Search Results: wells fargo
Results 20-30 of about 162
Date: June 12, 2019
The Federal Housing Finance Agency (FHFA) has filed a more than $1B residential mortgage-backed securities (RMBS) fraud lawsuit against Wells Fargo (WFC) on behalf of Freddie Mac . ... While several banks underwrote the securities, the investor fraud case is ...
Date: April 29, 2019
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International ...
Date: March 11, 2019
Just a few weeks after former Wells Fargo (WFC) broker John Gregory Schmidt consented to a final judgment in the US Securities and Exchange Commission’s (SEC) investor fraud case against him, the regulator announced that it has barred Schmidt for ...
Date: February 21, 2019
The city of Philadelphia, Pennsylvania is suing Bank of America (BAC), Goldman Sachs (GS), Citigroup (C), Wells Fargo & Co.
Date: January 3, 2019
Schmidt, an ex-Wells Fargo (WFC) broker, is now facing 128 felony counts over his alleged running of a $1M Ponzi scam.
Date: October 11, 2018
They are ex- Morgan Stanley broker (MS) Kevin Smith and former Wells Fargo (WFC) brokers Wilfred Rodriquez Jr. and Thomas A.
Date: October 10, 2018
Financial Fraud: Massachusetts Mayor is Accused of Bilking Investors, Former Wells Fargo Broker Allegedly Stole $1M From Older Clients, and the LendingClub Asset Management Settles $4.27M Securities Case
Date: September 12, 2018
The Financial Industry Regulatory Authority (FINRA) has barred Wells Fargo (WFC) broker Edward O. ... Daniel, a Texas-based broker, was with Wells Fargo Advisers for seven years before he stepped down in September 2016. ... Soon after Daniel resignation two ...
Date: August 30, 2018
(Cloutier), a former Wells-Fargo (WFC) broker based in the Dallas area of Frisco, Texas, after he allegedly tried to make an unauthorized trade and requested a loan from a client. ... Previous to working with Wells Fargo, Cloutier was a ...
Date: August 22, 2018
According to Yahoo Finance , a number of Wells Fargo (WFC) advisors who used to work for the Private Bank’s wealth management unit are claiming that the firm pushed them to place client funds in investments that charged higher fees ...
