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Search Results: wells fargo
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Date: October 23, 2017
California Treasurer John Chiang announced this week that the state has decided to extend the sanctions it imposed against Wells Fargo & Co. (WFC) for one more year.
Date: October 16, 2017
The Financial Industry Regulatory Authority said that Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services LLC must pay over $3.4M in restitution to customers who were impacted by unsuitable recommendations involving exchange-traded products and the supervisory failures involved.
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. The self-regulatory organization also has ...
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. (WFC) According to Reuters , five lawsuits are involved and plaintiffs include funds from Prudential Financial Inc.(PRU), ...
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. (WFC), and Deutsche Bank AG (DB) have reached a $165M with investors in their class action mortgage-backed ...
Date: March 13, 2017
A Financial Industry Regulatory Authority securities arbitration panel ruled that Wells Fargo Advisors (WFC) must pay investor Anthony J. Pryor $357K related to purportedly unsuitable housing and energy investments .
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 decision comes after Prudential employees filed a complaint claiming they were let go because they reported ...
