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Wells Fargo Appeals Arb Ruling Struck Down in Court

The findings in the judge s order are false and wholly unsupported by the record Wells Fargo Advisors states.

United statesBrian leggettBelinda edward janMichael edmistonJonathan evans associatesFinancial industry regulatory authorityAtlanta superior courtPublic investors advocate bar associationGeorgia courtWells fargoWhat you needFargo advisorsSuperior court judge belinda edwardWells fargo advisorWells fargo advisorsJonathan evans

Decade-Old Arbitration Dustup Continues to Haunt FINRA

Sen. Elizabeth Warren and Rep. Katie Porter are pressing the regulator after a Georgia judge called the fairness of its arbitration process into question.

United statesFulton countySander resslerWilliam cohanDaniel kolberLowenstein sanderBelinda edwardsElizabeth warrenChristopher geroldFred pinckneyBill singerBrian leggettIlene gormlyTerry weissBryan leggettRobert cook

Wells Fargo s appeal of fraud ruling puts spotlight on FINRA and SEC

A judge’s decision puts new pressure on the brokerage industry watchdog and the SEC.

New yorkUnited statesCoral springsFulton countyScott silverJackie knolhoffJacob zamanskyBelinda edwardsElizabeth warrenRobert cookKatie porterRay pellecchiaMaynard cooperBrian leggettMichael edmistonTerry weiss

Wells Fargo s appeal of fraud ruling puts spotlight on FINRA and SEC

A judge’s decision puts new pressure on the brokerage industry watchdog and the SEC.

New yorkUnited statesUnited kingdomCoral springsFulton countyScott silverJackie knolhoffJacob zamanskyBelinda edwardsElizabeth warrenRobert cookKatie porterRay pellecchiaMaynard cooperBrian leggettBeverley schottenstein

Nutter Securities Enforcement Update: March 1, 2022 | Nutter McClennen & Fish LLP

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges.

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