Wells Fargo

Posts In Wells Fargo

Citing 'Widespread Failures,' SEC Fines Wells Fargo $35 Million for Unsuitable Inverse ETF Recommendations, Inadequate Supervision Leading to Millions of Dollars in Customer Losses Feb 29
Wells Fargo Advisors and Wells Fargo Clearing Services will pay $35 million in fines for failing to ...
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Wells Fargo Fined for Failing to Supervise Rep's Excessive Trading; Matthew Maczko Barred Feb 06
FINRA fined Wells Fargo Advisors for failing to reasonably supervise a representative who ...
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Trading in a Dead Client's Account Nets Former Wells Fargo Broker Michael Garris a Fine and Suspension Jul 24
FINRA suspended and fined former Wells Fargo (Los Angeles, CA) broker Michael David Garris for ...
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Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study Mar 26
On the heels of FINRA's January 2019 complaint charging former Wedbush Securities broker William ...
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SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud Mar 11
Two months after his arrest for fraud and forgery in an alleged Ponzi scheme targeting "particularly ...
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John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud Jan 07
In a textbook example of red flags and warning signs to watch out for, prosectors charged former ...
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