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Search Results: wells fargo
Results 40-50 of about 162
Date: June 22, 2017
The Financial Industry Regulatory Authority is ordering Wells Fargo Securities (WFC) to pay a $3.25M fine for inaccuracies and mistakes in its reporting for over-the-counter trades that took place between January 2008 and March 2017. ... According to FINRA, in ...
Date: April 17, 2017
Former Wells Fargo and LPL Financial Broker Receives 41-Month Prison Term for Elder Financial Fraud Robert N. Tricarico, an ex-broker for both Wells Fargo Advisors (WFC) and LPL Financial (LPLA), will serve 41 months behind bars and pay restitution of ...
Date: April 3, 2017
District Judge Katherine Polk Failla ruled that a few dozen funds may pursue their mortgage-backed securities fraud lawsuits against Wells Fargo & Co. ... The funds are seeking to hold Wells Fargo liable for breach of contract and conflict of ...
Date: March 25, 2017
$165M Class Action Settlement Reached in MBS Fraud Case Involving NovaStar Securities Royal Bank of Scotland Group Plc (RBS), Wells Fargo & Co.
Date: March 13, 2017
A Financial Industry Regulatory Authority securities arbitration panel ruled that Wells Fargo Advisors (WFC) must pay investor Anthony J. ... Wells Fargo denies Pryor’s allegations.
Date: December 23, 2016
It is against the law for companies to retaliate against employers for turning whistleblower, and there are protections, as well as remedies in place in the event of retaliation.
Date: December 22, 2016
The firms who are subject to these sanctions include: · RBS Securities (RBS) for $2M · LPL Financial (LPLA) for $750K · Wells Fargo Prime Services and Wells Fargo Securities (WFC) for a collective $4M fine · Wells Fargo Advisors, ...
Date: December 12, 2016
(PRU) announced that is no longer distributing certain term life insurance policies, including its My Term product, through Wells Fargo’s (WFC) retail bank. ... The insurer says it intends to probe the “full extent of abuses” that may have resulted ...
Date: December 7, 2016
Wells Fargo Fined $1M Over Supervision of Consolidated Client Reports The Financial Industry Regulatory Authority says that Wells Fargo (WFC) must pay a $1M fine for not having reasonable supervisory systems in place to oversee the generation of consolidated reports ...
Date: November 10, 2016
Batts has certified a class of investors to go ahead with fraud claims that they’ve brought against Wells Fargo (WFC), RBS Securities (RBS), and Deutsche Bank (DB). ... Wells Fargo Advisors LLC was previously Wachovia Capital Markets.
