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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.

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Wells Fargo accused of arbitration fraud | Financial Planning

The wirehouse and its attorney “manipulated the arbitrator selection process” and “introduced perjured testimony,” according to the ruling.

United statesFulton countyJackie knolhoffTerryr weissBelinda edwardsFred pinckneyJacob mckelveyKenneth canfieldBrian leggettMichael edmistonMerrill lynchKenneths canfieldRobertl lestinaCanfield knowlesLisa cookJosh gottheimer

Wells Fargo accused of arbitration fraud

The wirehouse and its attorney “manipulated the arbitrator selection process” and “introduced perjured testimony,” according to the ruling.

United statesFulton countyJackie knolhoffMerrill lynchRobertl lestinaKenneths canfieldTerryr weissBelinda edwardsCanfield knowlesFred pinckneyJacob mckelveyKenneth canfieldCraig kuglarBrian leggettJay windsor pickettJonathan evans

Wells Fargo to pay $2 3M to settle FINRA s WORM case

The wirehouse and its independent arm failed to store millions of documents in the right format over a 17-year span, the regulator says.

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Wells Fargo advisor Mohamed Shoukr files discrimination lawsuit

Wells Fargo advisor Mohamed Shoukr files discrimination lawsuit
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