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Results 130-140 of about 163
Date: May 26, 2011
McGinn and Smith are part owners of McGinn Smith & Co, Inc., as well as stockbrokers. Last year, FINRA’s Department of Enforcement submitted a complaint accusing them and their firm of taking part in four fraudulent securities offerings between September ...
Date: May 24, 2011
According to the New Jersey Bureau of Securities, Wells Fargo Investments Inc. (WFC) and Goldman Sachs & Co. (GS) has repurchased $26.9 million in ARS tosettle securities allegations that they sold auction-rate securities to New Jersey investors without disclosing the ...
Date: May 18, 2011
(BAC)), HSBC Holdings PLC (HBC), and the former Wachovia, (now part of Wells Fargo & Co. ( WFC)). A federal court has to approve the proposed settlement.
Date: May 12, 2011
FINRA is fining Wells Fargo Advisors LLC $1 million over the allegations that the financial firm did not deliver mutual fund prospectuses within the three days (as required by federal securities laws) and delays in the updating of material information ...
Date: May 4, 2011
Per the investigation’s findings, AG Edwards, now known as Wells Fargo Advisors after Wachovia Corp. acquired it and the latter was later acquired by Wells Fargo & Co. (WFC), sold the annuities to elderly clients but failed to maintain proper ...
Date: April 16, 2011
Executives with Fraud , SEC, April 14, 2011 Mass. auto lender, executives charged with fraud, Businessweek/Bloomberg, April 14, 2011 Massachusetts Division of Banks More Blog Posts: FINRA Orders UBS Financial Services to Pay $8.25M for Misleading Investors About Security of ...
Date: April 6, 2011
For a payment of $11.2 million, Wells Fargo & Co. will settle US Securities and Exchange Commission allegations that Wachovia Capital Markets LLC misled investors and improperly sold two collateralized debt obligations in 2007 and 2006. Wachovia was bought by ...
Date: February 27, 2011
Other investment banks have also provided their worst-case scenarios: • Citigroup Inc. estimated its worst-case scenario at $4 billion • Wells Fargo & Co. estimated $1.2 billion • Bank of America Corp. estimates about $1.5 billion Related Web Resources: J.P.
Date: February 9, 2011
Fuld Jr., ex-Lehman Chief Financial Officers Erin Callan and Christopher O’Meara, 9 Lehman directors, and 33 others firms, including Wells Fargo Securities, Citigroup Global Markets Inc. , and Mellon Financial Markets.
Date: February 2, 2011
Later that year, he allegedly shorted 100,000 Wells Fargo (WFC) shares. Fontana bought the same amount the next day and made a profit of about $160,000.
