Tag: Wells Fargo Advisors losses
Wells Fargo Advisors Fined $175,000 for Alleged Supervisory Issues
Wells Fargo Allegedly Fails to Supervise Rep Accused of Excessive Trading According to the public records on FINRA’s website on January...
Wells Fargo Advisors Fined $3.5 Million for Reporting Violations
SEC Fines Wells Fargo Advisors $3.5 Million for Reporting Violations The Securities and Exchange Commission imposed a $3.5 million penalty...
Investor Alert: Wells Fargo Advisors to Pay Client $262,000
Wells Fargo Advisors Ordered to Pay A FINRA arbitration panel has ordered Wells Fargo Advisors to pay a former client more than $262,000...
Ralph Edward Thomas Jr. Pleads Guilty in Fraud Case
According to the Baltimore Sun, Ralph Edward Thomas Jr. pleaded guilty “to mail fraud in connection with the theft of more than $800,000...
