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Tag: Wells Fargo FINRA

Wells Fargo to pay $1.4 M in Restitution for Failure to Supervise VA Switches, featured by top securities fraud attorneys, The White Law Group

Blog, Securities Fraud Articles

September 4, 2020

Wells Fargo to pay $1.4 M in Restitution

FINRA Sanctions Wells Fargo for Failure to Supervise VA Switches According to the Financial Industry Regulatory Authority (FINRA) on...

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churning life insurance

Blog, Securities Fraud Articles

October 9, 2018

Wells Fargo Sued for Allegedly Churning Life Insurance Contracts

Family claims Wells Fargo Breached Fiduciary Duty According to reports, Sherry Webber and her farm-owning family filed a lawsuit in federal...

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Wells Fargo

Blog, Current Investigations

October 16, 2017

Wells Fargo & Co to Return $3.4 million to Customers

FINRA Sanctions Wells Fargo for Risky ETPs According to reports on Monday, the Financial Industry Regulatory Authority (FINRA) ordered...

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Blog, Securities Fraud Articles

December 15, 2011

Wells Fargo Fined $2 Million by FINRA

The Financial Industry Regulatory Authority (FINRA) has announced that it has levied a $2 million fine on Wells Fargo Investments, LLC....

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