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Search Results: wells fargo
Results 50-60 of about 162
Date: November 3, 2016
Securities and Exchange Commission is investigating whether Wells Fargo (WFC) violated whistleblower protections, in the wake of allegations of aggressive and illegal sales tactics, and misled investors over these allegations. ... In the letter, the US senators asked the SEC ...
Date: October 18, 2016
A plaintiff who is a participant in Wells Fargo’s 401(K) plan is suing the bank. ... It was just last month that regulators imposed a $185M fine on Wells Fargo for setting up 2.1 million credit card accounts and unauthorized ...
Date: October 15, 2016
FINRA Actions: Former UBS Broker Is Barred for Overvaluing Customer’s Account by Up to $3M, Ex-Broker Allegedly Stole $400K From Parents, Wells Fargo Adviser is Suspended After Client is Victimized in Phishing Scam, and Former Stifel Broker is Accused of Unauthorized Payments
Date: June 12, 2016
For instance, Parthemer is accused of lending $400K to three clients without getting his firm’s consent, giving former employers Wells Fargo (WFC) and Morgan Stanley, as well as FINRA, false information, presenting private securities transactions that went undisclosed and involved ...
Date: June 2, 2016
Ex-Wells Fargo Broker to Be Barred Christopher John Pierce, a former Wells Fargo & Co.
Date: May 16, 2016
A FINRA arbitration panel has ordered Wells Fargo Advisors LLC (WFC) to pay UBS Financial Services Inc. $1.1M to resolve a claim involving financial adviser David Kinnear who went to work for the Wells Fargo & Co. brokerage arm after ...
Date: March 28, 2016
(JPM) , Wells Fargo & CO.
Date: March 7, 2016
The Securities and Exchange omission has filed charge against Wells Fargo Securities (WFC) and the Rhode Island Economic Development Corp. accusing them of fraud in a municipal bond offering . ... Wells Fargo served as the bond underwriter. The SEC ...
Date: March 1, 2016
Other advisor firms noted for their high misconduct rates included First Allied Securities at 17.7%, Wells Fargo Advisors (WFC) at 15.3%, UBS Financial Services (UBS) at 15.14%, Cetera Advisors at 14.39%, Securities America at 14.3%, National Planning Corp. at 14%, ...
Date: February 28, 2016
The Seminole Tribe of Florida is suing Wells Fargo (WFC). ... The Seminole Tribe said that it set up a trust account with Wachovia Bank, which was Wells Fargo’s predecessor in interest, for the purpose of using the revenue from ...
