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Search Results: wells fargo
Results 70-80 of about 162
Date: May 5, 2015
The city of Los Angeles has filed a civil complaint against Wells Fargo Bank (WFC). ... It wants penalties for every violation, as well as restitution for customers that were hurt.
Date: April 24, 2015
The Financial Industry Regulatory Authority Inc. has barred broker Aaron Parthemer, a Wells Fargo (WFC) adviser, for taking part in a number of outside businesses and failing to disclose his involvement. ... Parthemer allegedly did not disclose the part he ...
Date: March 5, 2015
Included among the firms that did well are Wells Fargo (WFC), Citigroup (C) , JPMorgan Chase (JPM) , and Goldman Sachs (GS).
Date: January 13, 2015
The regulator contends that between 6/11 and 5/14, a Wells Fargo & Co.
Date: December 23, 2014
The Financial Industry Regulatory Authority is ordering Wells Fargo Advisors Financial Network (WFAFN) and Wells Fargo Advisors (WFA) to collectively pay $1.5M for anti-money laundering (AML) failures.
Date: December 10, 2014
LLC; $4 million for Wells Fargo Securities, LLC (WFC), Deutsche Bank Securities Inc. ... The firms knew that how well their analysts did with this would impact whether or not they would be given the underwriting role in the IPO.
Date: November 27, 2014
Cook County, Illinois is suing Wells Fargo & Co. ... Per the mortgage lending lawsuit, for over a decade Wells Fargo discriminated against female and minority borrowers in the area to increase profits. ... It wants to stop Wells Fargo’s ...
Date: October 20, 2014
Wells Fargo Advisers LLC has consented to pay $5M to resolve U.S. ... Wells Fargo also was charged with taking too long to produce documents during the SEC’s probe and giving the regulator an altered document related to a review ...
Date: September 19, 2014
The Financial Industry Regulatory Authority has barred a former Wells Fargo (WFC) registered representative from the brokerage industry. ... Plate, who previously worked with Wells Fargo Advisors Financial Network in Florida, allegedly made fifteen unauthorized trades in a joint brokerage ...
Date: September 11, 2014
FINRA Headlines: SRO Considers Revised Broker Bonus Plan, To Discuss Potential Dark Pool Rules, May Instigate Civil Action Against Wells Fargo, &Warns Investors About Frontier Markets
