Finra Fines Wells Fargo $2M for Unsuitable Sales
Dec 15, 2011 . Finra also charged Wells Fargo for failing to provide sales charge discounts on Unit Investment Trust (UIT) transactions to any eligible .
http://www.fa-mag.com/fa-news/9408-finra-fines-wells-fargo-2-million-for-unsuitable-sales-of-reverse-convertibles.html
A guide to investing in unit investment trusts - Visit Saf ...
costs and risks associated with unit investment trusts (UITs), as well as how your Financial Advisor and Wells Fargo Advisors are compensated when you invest .
https://saf.wellsfargoadvisors.com/emx/dctm/Marketing/Marketing_Materials/UITs/e6261.pdf
Division of Investment Management No-Action and Interpretive ...
4 days ago . open-end investment company or registered unit investment trust. Wells Fargo Bank and its affiliated persons who act in the capacities set forth .
http://www.sec.gov/divisions/investment/noaction/2012/wellsfargo092112-206-4.pdf
Originator and Holder
Wells Fargo :: Stock Broker Fraud Blog
He also is accused of not giving discounts on Unit Investment Trust (UIT) transactions even when clients were eligible. As part of its settlement, Wells Fargo will .
http://www.stockbrokerfraudblog.com/brokerage_firms/wells_fargo/
Wells Fargo Mutual Fund Center - Compare Ways to Invest in Funds
Compare ways to invest in funds at Wells Fargo to find the best option to fit your . exchange-traded funds, options, initial public offerings, unit investment trusts, .
https://www.wellsfargo.com/investing/mutual_funds/compare
Select DSIP PortfolIo - First Trust
Jul 17, 2012 . An investment in this unmanaged unit investment trust should be made . While Wells Fargo Advisors has carefully evaluated and approved the .
http://www.ftportfolios.com/Common/ContentFileLoader.aspx?ContentGUID=7da998da-fe19-40ed-9976-58c94871bf7e
Investment Objectives & Risks of a Unit Trust | eHow.com
Unit investment trusts represent an interesting opportunity for investors to grow their money. A unit investment trust . Wells Fargo: Unit Trusts. Photo Credit stock .
http://www.ehow.com/list_6729019_investment-objectives-risks-unit-trust.html
The Advantages of Investing in Investment Trusts - Wiki | The Motley ...
Investment trusts are fairly old financial entities, with some of the first trusts . type of fixed portfolio investment that is solid in a limited number of shares -- or units . not be sold to take advantage of market conditions," according to Wells Fargo.
http://wiki.fool.com/The_Advantages_of_Investing_in_Investment_Trusts
Vendor and Lender
Notes - Wells Fargo Advantage Funds
Organization and Management of the Fund. Organization and Management of the Fund·. About Wells Fargo Funds Trust·. The Investment Adviser and Portfolio .
http://www.wellsfargoadvantagefunds.com/wfweb/wf/funds/reports.jsp?fundNo=3355
FSUNOX - First Trust
Aug 23, 2012 . The following unaudited information details Wells Fargo Advisors and . in this approximate 5-year unmanaged unit investment trust should be .
http://www.ftportfolios.com/Retail/dp/dpdepositdayinfo.aspx?fundid=8715&Trust=CRFL12
Insurance News - Wells Fargo Funds Trust, et al.; Notice of Application
Sep 18, 2012 . Applicants: Wells Fargo Funds Trust, on behalf of its series, Wells Fargo . investment companies and unit investment trusts ("UITs") that are .
http://insurancenewsnet.com/article.aspx?id=357922&type=newswires
Fact Sheet - First Trust
Aug 24, 2012 . First Trust Portfolios L.P. is the sponsor of this portfolio. Units are available through Wells Fargo Advisors and other broker/dealer firms.
http://www.ftportfolios.com/Common/ContentFileLoader.aspx?ContentGUID=093e21ce-f054-48e4-a646-95246b602517
Unit Investment Trusts - Wells Fargo Advisors
Unit investment trusts offer a simple and affordable way for you to develop a well- diversified investment portfolio. Wells Fargo Advisors can help you determine .
https://www.wellsfargoadvisors.com/financial-services/investment-products/unit-investment-trust.htm
Henry Gonsalves | LinkedIn
. Funds Trade Analyst at Wells Fargo Advisors; Unit Investment Trust/Mutual Funds . Reviewed Mutual Fund and Unit Investment Trust trades for breakpoint .
http://www.linkedin.com/pub/henry-gonsalves/19/432/557
Wells Fargo Investments Fined $2 Million for Unsuitable Reverse ...
Dec 15, 2011. charge discounts on Unit Investments Trust (UIT) transactions. FINRA also took the unusual step of requiring Wells Fargo to pay restitution to .
http://www.californiasecuritiesfraudlawyerblog.com/2011/12/wells-fargo-investments-fined.html
Licensing Creditors
DiversifieD income & Growth Portfolio - First Trust
Aug 6, 2012 . by the analysts of Wells Fargo Advisors ASG. The analysts begin with the . package called a unit investment trust, with a fixed portfolio and a .
http://www.ftportfolios.com/Common/ContentFileLoader.aspx?ContentGUID=54c61f4e-a676-4952-89f7-5ad78e15dcba
Wells Fargo Fined $2M for Unsuitable Sale of Reverse Convertibles to
Jan 2, 2012 . "[Wells Fargo] also did not provide sales charge discounts to eligible customers purchasing unit investment trusts, [these were] both serious .
http://www.investorclaims.com/blog/wells-fargo-fined-2m-for-unsuitable-sale-of-reverse-convertibles-to-elderly.cfm
Credit Reports
Walnut Capital Management Services
Still other firms may offer more support for investments like preferred stocks. . and trust affiliates (in addition to non-affiliated companies) of Wells Fargo Advisors . unit investment trusts, and more to create an appropriate investment portfolio.
http://www.walnutcapitalmanagement.com/services/
Overview - First Trust
The Wells Fargo Advisors formula for long-term growth investing begins with the . An investment in this approximate 5-year unmanaged unit investment trust .
http://www.ftportfolios.com/Retail/dp/dpoverview.aspx?Trust=CRFL12&fundid=8715
Media | SmartTrust UIT
"Unit investment trusts aren't as popular with investors as mutual funds, ETFs or . with Margaret Patel, Wells Fargo Funds Management; Kevin Mahn, Hennion .
http://smarttrustuit.com/media.html
The Advantages of Investing in Investment Trusts - Budgeting Money
When you buy shares of a unit investment trust, your investment is pooled together . Trusts · Wells Fargo Advisors: A Guide to Investing in Unit Investment Trusts .
http://budgeting.thenest.com/advantages-investing-investment-trusts-22841.html
Wells Fargo Advisors Bond Center - Costs Associated with Bonds
Wells Fargo Bank. . Another way to purchase bonds is through bond mutual funds or a unit investment trust (UIT). Mutual funds sold through a brokerage firm .
https://www.wellsfargo.com/investing/bonds/costs
Wells Fargo Fined by Finra Selling Structured Notes to Aged ...
Dec 15, 2011 . San Francisco-based Wells Fargo, which Finra also said failed to provide some customers with discounts on unit investment trusts, didn't admit .
http://mobile.bloomberg.com/news/2011-12-15/wells-fargo-fined-2-million-for-selling-structured-notes-to-80-year-olds
2011 Tax information guide - Visit Saf.wellsfargoadvisors.com ...
(“AMT”), (b) a real estate investment trust (“REIT”), (c) a unit investment trust (“UIT ”),. (d) a security organized as a grantor trust, (e) a foreign company, or (f) a U.S. .
https://saf.wellsfargoadvisors.com/emx/dctm/Marketing/Marketing_Materials/Image/e6224.pdf
FJUMAX - First Trust
Jul 16, 2012 . The following unaudited information details Wells Fargo Advisors and its . An investment in this unmanaged unit investment trust should be .
http://www.ftportfolios.com/Retail/dp/dpdepositdayinfo.aspx?fundid=8627&Trust=DS3Q12
FBERIX - First Trust
Aug 3, 2012 . The following unaudited information details Wells Fargo Advisors and its . An investment in this unmanaged unit investment trust should be .
http://www.ftportfolios.com/Retail/dp/dpdepositdayinfo.aspx?fundid=8680&Trust=DSFL12
What trading options does Wells Fargo/Wellstrade offer?
Wells Fargo/Wellstrade offers the following trading... Find the full answer at . offer ETFs? Does Wells Fargo/Wellstrade offer Unit Investment Trusts (UIT)?
http://online-trading.minyanville.com/q/21/7772/What-trading-options-does-Wells-Fargo-Wellstrade-offer
What is a UIT (Unit Investment Trust)?
Jan 1, 2012 . A UIT, or a Unit Investment Trust, is a fixed, unmanaged portfolio comprised of stocks, corporate and . Abad, Joseph, Wells Fargo Advisors, Llc .
http://financial-advisors.findthebest.com/b/736/What-is-a-UIT-Unit-Investment-Trust
print - U.S. Government Printing Office
Sep 18, 2012 . Permissible Investments –Treasury. Inflation . 812–13967]. Wells Fargo Funds Trust, et al.; Notice . unit investment trusts (''UITs'') that are .
http://www.gpo.gov/fdsys/pkg/FR-2012-09-18/pdf/2012-23009.pdf
Wells Fargo Advisors / Wachovia Archives: California Securities ...
Dec 15, 2011 . Wells Fargo Investments Fined $2 Million for Unsuitable Reverse . sales charge discounts on Unit Investments Trust (UIT) transactions. FINRA .
http://www.californiasecuritiesfraudlawyerblog.com/stockbrokers/wells-fargo/
Bond Funds: Money Market Funds, ETFs, Unit Investment Trusts and ...
For the average investor, picking your way through the opaque .
http://bonds.about.com/od/bondfunds/Bond_Funds_Money_Market_Funds_ETFs_Unit_Investment_Trusts_and_More.htm
Mutual fund - Wikipedia, the free encyclopedia
There are 3 types of U.S. mutual funds: open-end, unit investment trust, and . Exchange-traded funds are open-end funds or unit investment trusts that trade on .
http://en.wikipedia.org/wiki/Mutual_fund
Wells Fargo Funds Trust, et al. - Securities and Exchange Commission
Sep 12, 2012 . investment companies and unit investment trusts (“UITs”) that are within . Applicants: Wells Fargo Funds Trust (“Trust”), on behalf of its series, .
http://www.sec.gov/rules/ic/2012/ic-30201.pdf
print
Sep 18, 2012 . Permissible Investments –Treasury. Inflation . 812–13967]. Wells Fargo Funds Trust, et al.; Notice . unit investment trusts (''UITs'') that are .
http://www.gpo.gov/fdsys/pkg/FR-2012-09-18/pdf/2012-23062.pdf
FINRA Fines Wells Fargo $2M on Sales to Elderly
Dec 15, 2011. fined Wells Fargo Investments $2 million over sales of unsuitable reverse . and a failure to provide breakpoints on unit investment trust sales.
http://www.advisorone.com/2011/12/15/finra-fines-wells-fargo-2m-on-sales-to-elderly
Investment Company Act Notice: Wells Fargo Funds Trust, et al.
Oct 31, 2008 . Applicants: Wells Fargo Funds Trust (“Trust”) and Wells Fargo Funds . companies or registered unit investment trusts in reliance on section .
http://www.sec.gov/rules/ic/2008/ic-28482.pdf
Investing in Mutual Funds - LPL Financial
. Van Eck; Virtus Investment Partners (Formerly Phoenix); Wells Fargo Advantage Funds; Wilmington Trust . Closed End Funds and Unit Investment Trusts .
http://www.joinlpl.com/financial-advisor-investment-products/mutual-funds.html
Brokerage Accounts - Prudential
Mutual funds and Unit Investment Trusts are offered by prospectus only. . its trades through First Clearing, LLC, a non-bank affiliate of Wells Fargo & Company.
http://www.prudential.com/view/page/public/15960
Tax Implications of a Unit Investment Trust | eHow.co.uk
In general, using a unit investment trust as an investment vehicle has certain . Gains · Wells Fargo Advisors: A Guide to Investing in Unit Investment Trusts .
http://www.ehow.co.uk/info_7743499_tax-implications-unit-investment-trust.html
Claim for Recovery of Claymore UIT Investment Losses Filed. | PRLog
Dec 31, 2010 . The claim, filed against Wells Fargo Advisors, LLC (“Wells Fargo”) seeks recovery of . A unit investment trust is a fixed, unmanaged portfolio or .
http://www.prlog.org/11188267-claim-for-recovery-of-claymore-uit-investment-losses-filed.html
Wells to pay $2M to settle claims broker sold unsuitable investments ...
Dec 15, 2011 . In addition to not sufficiently supervising him, Wells Fargo failed to give certain customers who purchased unit investment trusts appropriate .
http://www.investmentnews.com/article/20111215/FREE/111219943
print - U.S. Government Printing Office
Sep 18, 2012 . Wells Fargo Fund-of-Funds (the. ''Unaffiliated Investment Companies'') and unit investment trusts (''UITs'') that are not part of the same ''group .
http://www.gpo.gov/fdsys/pkg/FR-2012-09-18/pdf/2012-22917.pdf
Wells Fargo Fined $2M for Selling Unsuitable Securities to Elderly ...
Dec 30, 2011 . FINRA also alleged that Wells Fargo failed to provide required sales charge discounts on Unit Investment Trust (UIT) transactions to eligible .
http://wallstreetfraudblog.com/818/wells-fargo-fined-2m-for-selling-unsuitable-securities-to-elderly-customers/
Credit Discrimination
Fact Sheet - First Trust
Jun 5, 2012 . Series 2. This unit investment trust seeks above-average . Wells Fargo® Hedge Fund Manager Holdings Index Construction Process .
http://www.ftportfolios.com/Common/ContentFileLoader.aspx?ContentGUID=f9c30a4f-05fa-485d-bf62-215c99a1ed6c
Tax Implications of a Unit Investment Trust | eHow.com
In general, using a unit investment trust as an investment vehicle has certain . Gains · Wells Fargo Advisors: A Guide to Investing in Unit Investment Trusts .
http://www.ehow.com/info_7743499_tax-implications-unit-investment-trust.html
Overview - First Trust
In the opinion of Wells Fargo Advisors, this strategy of investing may allow for the . Although this unit investment trust terminates in approximately 15 months, .
http://www.ftportfolios.com/Retail/dp/dpoverview.aspx?fundid=8627&Trust=DS3Q12
DiversifieD income & Growth Portfolio - First Trust
May 7, 2012 . First Trust Portfolios L.P.. Member SIPC . by the analysts of Wells Fargo Advisors ASG. . package called a unit investment trust, with a .
http://www.ftportfolios.com/Common/ContentFileLoader.aspx?ContentGUID=ad8967f9-eb4d-4e37-a015-652f46a50585
Wells Fargo Advantage Funds SAI
Funds Trust and Wells Fargo Variable Trust (the “Trusts”) and appointed Nancy . management investment companies or registered unit investment trusts in .
http://www.wellsfargoadvantagefunds.com/pdf/sai/sai_smallmidcap.pdf
Wells Fargo Advisors Germantown, TN, 38138 - YP.com
Get directions, reviews, payment information on Wells Fargo Advisors located at . money market funds, unit investment trusts and futures and commodities.
http://www.yellowpages.com/germantown-tn/mip/wells-fargo-advisors-452994479
Diversified Income & Growth Portfolio, Fall 2012 Series - First Trust
Aug 6, 2012 . FT 3661 is a series of a unit investment trust, the FT Series. FT 3661 . Information on Wells Fargo Advisors, LLC, the Sponsor,. Trustee, FTPS .
http://www.ftportfolios.com/Common/ContentFileLoader.aspx?ContentGUID=e7961db1-f198-419f-af8c-ba61ed5f7180
Morgan Stanley, UBS, Wells Fargo, and Merrill Lynch Recruit Other ...
Sep 9, 2010 . UBS AG unit UBS Wealth Management Americas recently recruited Bank . In other investment adviser news, a team of now former Wells Fargo .
http://www.stockbrokerfraudblog.com/2010/09/morgan_stanley_ubs_wells_fargo.html
Prospectus - First Trust
Aug 24, 2012 . FT 3686 is a series of a unit investment trust, the FT Series. FT 3686 . Information on Wells Fargo Advisors, LLC, the Sponsor,?. Trustee, FTPS .
http://www.ftportfolios.com/Common/ContentFileLoader.aspx?ContentGUID=d2ac6858-0df4-41b5-99d5-b8b07c5784c7
Overview - First Trust
In the opinion of Wells Fargo Advisors, this strategy of investing may allow for the . An investment in this unmanaged unit investment trust should be made with .
http://www.ftportfolios.com/Retail/dp/dpoverview.aspx?Trust=DSFL12&fundid=8680
Fact Sheet - First Trust
Apr 12, 2012 . Series 1. This unit investment trust seeks above-average . Wells Fargo® Hedge Fund Manager Holdings Index Construction Process .
http://www.ftportfolios.com/Common/ContentFileLoader.aspx?ContentGUID=154e396d-56a7-4620-978a-1f362989696e
Enrico Strina | LinkedIn
Trust Asset Financial Analyst at Wells Fargo Bank; Mutual Fund Trader at Wells Fargo; Mutual Fund Trade Specialist/Unit Investment Trust Trader at Miller, .
http://www.linkedin.com/pub/enrico-strina/7/258/999
2012 spring series - First Trust
Feb 24, 2012 . non-bank affiliates of Wells Fargo & Company. First Trust Portfolios L.P. is the sponsor of this portfolio. Units are available through Wells Fargo .
http://www.ftportfolios.com/Common/ContentFileLoader.aspx?ContentGUID=7196398e-06a7-4955-a4ca-19fedbfb9817
Trust and Custody Investment Services – Wells Fargo Commercial
Wells Fargo offers investment management, transition management, portfolio . are provided by Wells Fargo Institutional Retirement and Trust, a business unit of .
https://www.wellsfargo.com/com/investments/trust-custody/investment-services
Wells Fargo Bank Overland Park, KS, 66213 - YP.com
Get directions, reviews, payment information on Wells Fargo Bank located at . deposit, money market funds, unit investment trusts and futures and commodities.
http://www.yellowpages.com/overland-park-ks/mip/wells-fargo-bank-5008703
Further readings
Select DSIP Portfolio, 3rd Quarter 2012 Series FT 3618 - First Trust
Jul 17, 2012 . FT 3618 is a series of a unit investment trust, the FT Series. FT 3618 . Information on Wells Fargo Advisors, LLC, the Sponsor,. Trustee, FTPS .
http://www.ftportfolios.com/Common/ContentFileLoader.aspx?ContentGUID=ac813564-4d11-4443-88f4-93d2dc48fbdf
Leigh Haynes profiles | LinkedIn
Current: Investment Specialist at Vanguard; Past: Senior Financial Advisor at . A Wells Fargo Company, Unit Investment Trust Marketing at Wachovia, A Wells .
http://www.linkedin.com/pub/dir/Leigh/Haynes
Wells Fargo Advantage Funds SAI
Funds Trust and Wells Fargo Variable Trust (the “Trusts”) and appointed Nancy . management investment companies or registered unit investment trusts in .
http://www.wellsfargoadvantagefunds.com/pdf/sai/sai_largecap.pdf
Wachovia :: Stock Broker Fraud Blog
The Wells Fargo & Co unit must also have completed buying back ARS from . for violations related to the sales of unit investment trusts and mutual funds.
http://www.stockbrokerfraudblog.com/brokerage_firms/wachovia/
Annuities - Wells Fargo Advisors
But investing in annuities isn't right for everyone. Contact Wells Fargo Advisors to learn more about immediate annuities, fixed annuities and variable annuities .
https://www.wellsfargoadvisors.com/financial-services/investment-products/annuities.htm
Investment Company Act Notices and Orders: Category Listing
Notices of Applications from Investment Companies and SEC Approving Orders. . Voting & Disclosure. Other; Securities Lending; Two-Tier Real Estate Partnerships; Unit Investment Trusts. Other . Wells Fargo Funds Trust, et al. 812 -13548 .
http://www.sec.gov/rules/icreleases.shtml
Exchange Traded Funds - ETFs | Wells Fargo Advisors
Contact Wells Fargo Advisors to learn more about exchange traded funds and how ETFs may fit in your investment portfolio. . A Guide to Investing in Exchange Traded Funds (PDF) · Mutual funds · Unit investment trusts · Stocks · Advisory services . because one share or one unit may represent multiple underlying stocks, .
https://www.wellsfargoadvisors.com/financial-services/investment-products/exchange-traded-funds.htm
Cross-references
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