Toll Free 888-527-3427

Local 818-760-9880

Home
Meet The Attorneys
- Jonathan W. Evans
- Michael S. Edmiston
Firm Overview
- In The News
- On Social Media
Securities
Testimonials
Recoveries Obtained
Site Search
Contact Us

Local Office 818-760-9880

Top

Wells Fargo

Featured
Year
Clear All

August 28, 2022 GWG Holdings Financing Package Approved, Further Highlighting Importance of Pursuing Arbitration with Firms That Sold L Bonds
April 12, 2022 GWG Sanctioned by NASDAQ As More Brokerage Sellers Appear
April 25, 2020 Lost Money in Risky Oil & Gas Investments During COVID-19? We're Investigating Claims
February 29, 2020 Citing 'Widespread Failures,' SEC Fines Wells Fargo $35 Million for Unsuitable Inverse ETF Recommendations, Inadequate Supervision Leading to Millions of Dollars in Customer Losses
January 07, 2019 John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud
September 07, 2018 Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations
March 26, 2019 Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study
March 11, 2019 SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud
December 18, 2018 Annemarie Thomas Suspended for Facilitating Wire Without Proper Authorization
September 29, 2018 Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients
September 17, 2018 Uncooperative Juergen Weber (Unsuitable, Unauthorized Trades) and Benjamin S. Johnson (Failure to Report Liens) Barred
August 27, 2018 Ex-Wells Fargo Broker Joseph Eschleman Sanctioned for Unauthorized Use of Discretion
June 26, 2018 Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges
January 09, 2023 Wells Fargo & Wedbush's Richard Blosser Barred During Investigation into Stock & Closed Fund Sales
September 16, 2022 Advisor Mark Frankel of Partnervest in Southern California Charged with Fraud
May 27, 2022 Tarik Nehmatullah Barred After Allegedly Accepting Loan from Customer
March 18, 2022 Former Wells Fargo & LPL Financial Broker Mario Rivero Arrested for Stealing $680,000 From Clients
October 05, 2021 Ex-Vorpahl Wing & LPL Financial Broker Lee Victor Nordstrom Barred After Allegedly Placing IRA Trades 4 Days After Client's Death
May 17, 2021 Wells Fargo's Gary Wells Sanctioned for Accepting Prohibited Bequests from Elderly Customer's Estate
February 22, 2021 Wells Fargo's Scott Reed Barred After Selling $3.5 Million of Web/Software Investments Away from Firm
September 03, 2020 Wells Fargo Variable Annuity Supervision Violations Net $2 Million in Fines and Restitution
August 24, 2020 FINRA Bars Terminated Brokers Lau, Winters, for Failing to Provide Information
May 01, 2020 Wells Fargo's Bryan Benson Barred After Investigation Into DPP Customer Complaint
February 06, 2020 Wells Fargo Fined for Failing to Supervise Rep's Excessive Trading; Matthew Maczko Barred
July 24, 2019 Trading in a Dead Client's Account Nets Former Wells Fargo Broker Michael Garris a Fine and Suspension
May 18, 2018 Banks and Brokers Recommending Risky Reverse Convertibles to Combat Volatility Despite Prior Discipline
May 12, 2018 Wells Fargo Survey Finds Two-Thirds of Financial Crimes Against Elderly Are Committed By Trusted Individuals
April 27, 2018 Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations
April 17, 2018 Dallas York Barred for Refusing to Cooperate with Investigation into Unauthorized Withdrawal of Customer Funds
April 10, 2018 Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing
March 06, 2018 DOJ Orders Review of Wells Fargo Advisors' Sales Practices and Recommendations
February 08, 2018 Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls
February 07, 2018 FINRA Warned of Volatility-Linked ETNs Before February Stock Market Plunge
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
November 27, 2017 Seadrill Limited (NYSE: SDRL) Runs Aground with Debt Restructuring Fiasco
October 16, 2017 Wells Fargo Ordered to Pay Restitution of $3.4 Million for Unsuitable Volatility-Linked Exchange-Traded Products
August 23, 2017 Say Nie Sam Sanctioned for Falsifying Wire Transfer Forms
July 18, 2017 After $2.4 Million Suit Alleging Elder Abuse, FINRA Bars James Schaedler Following $200k Gift Investigation
May 25, 2017 Wells Fargo to Restrict Structured Products, Municipal Bonds in IRA Accounts
April 19, 2017 Hossein Amirraiahei Barred Over Unauthorized Discretionary Trading Investigation
February 13, 2017 Matthew Maczko Barred for Churning in 93-Year-Old Client's Account, Resulting in Loss; Misleading Testimony
December 22, 2016 Wells Fargo, LPL Financial Among 12 Firms Fined $14.4 Million for Cybersecurity, Data Protection Failures
October 30, 2016 FINRA Cracks Down on Cross-Selling Programs in Wake of Wells Fargo Fiasco
October 12, 2016 Donald Toomer Barred, Indicted for $30 Million Pump-And-Dump Penny Stock Fraud
July 23, 2016 Ex-Wells Fargo Advisor Bradley Smegal Charged with Securities Fraud for Defrauding Clients Out of $5 Million, Making Ponzi Payments
March 02, 2016 7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers
October 20, 2015 James Christianson Fined, Suspended for Unauthorized Use of Discretion
September 16, 2015 FINRA Fines, Suspends Tyler Boone Powell for Improper Use of Discretion
September 14, 2015 Marisa Nicole Pickar Suspended for Falsifying Documents, Reusing Customer Signatures
August 24, 2015 Rush to Sell Overwhelms Brokerages, Shuts Online Clients Out from Transactions as Stocks Fall
August 06, 2015 Wells Fargo Advisors Censured, Fined $500,000, $242k in Restitution Ordered for Unsuitable STRATS Sales
July 13, 2015 Jeffrey David Daggett Fined & Suspended for Unsuitable ETN, Non-Traditional ETF Recommendations
July 08, 2015 F-Squared Files for Bankruptcy in Wake of $35 Million Settlement Over False Performance Claims
June 18, 2015 Wells Fargo Accused of Deficient Due Diligence on ETF-Based F-Squared Investment Losses
March 19, 2015 Nicholas C. Kramer Barred for Misappropriating Funds by Using Fake Identity
December 23, 2014 Wells Fargo Advisors' former advisor, Jeffrey C. McClure, Barred for Taking $88,850 from Elderly Client
December 22, 2014 Wells Fargo Advisors Fined $1.5 Million for Anti-Money Laundering Failures
October 16, 2014 SEC Charges Former Wells Fargo Compliance Officer Judy K. Wolf with Altering Documents
September 23, 2014 SEC Fines Wells Fargo Advisors $5 Million for Inadequate Controls to Prevent Broker's Insider Trading
September 12, 2014 Wells Fargo Advisors Warned of Possible Action for Anti-Money Laundering Failures
August 14, 2014 Ex-Wells Fargo Broker, Michael James Frew, Barred for Failure to Cooperate with Investigation into Alleged Conversion of Funds and Ponzi Scheme
April 07, 2014 Steven Robert Tomlinson Fined & Suspended for Downloading Confidential Customer Information
October 18, 2013 James Arnold Busch Accused of Stealing $1.3 Million from Elderly Customers
September 24, 2013 DeCarla Shevon Mathis Fined and Suspended for Fraudulent $100,000 Wire Transfers
September 05, 2013 Jennifer Marie Burton Fined and Suspended for Falsely Claiming Customer Correspondence, Leading to Improper Wire Transfers
July 15, 2013 Arbitrators Order Wells Fargo to Pay $2.8 Million in Damages, Interest for Failure to Detect Fraud in Investor's Account
July 09, 2013 Joseph John Antosh Jr. Barred for Failure to Cooperate with Investigation into IRA Beneficiary Switch
June 05, 2013 FINRA Orders Wells Fargo and Merrill Lynch to Pay $5.1 Million for Unsuitable Mutual Fund Sales
March 12, 2013 Adorean Boleancu (Wells Fargo) Ordered to Pay $650,000 in Restitution for Improper Conversion of Funds

The Law Offices of Jonathan W. Evans & Associates

Connect With Us

Local Office

12711 Ventura Boulevard,
Suite 440,
Studio City, CA 91604

(818) 760-9880 [Map & Directions]

Helpful Links

Home
Meet The Attorneys
Securities
Testimonials
Recoveries Obtained
Site Search
Contact Us
Video Center
Securities Fraud Blog

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation.
This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.

© 2023 All Rights Reserved.

Site Map
Privacy Policy