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Search Results: wells fargo
Results 1-10 of about 162
Date: September 26, 2024
FINRA Orders Wells Fargo Clearing To Pay Over $3M Following Allegedly Unsuitable Short-Term Trades Shepherd Smith Edwards and Kantas Failure To Supervise Investor Attorneys ( investorlawyers.com ) represent clients who have sustained losses because a broker-dealer’s failure to supervise their ...
Date: May 6, 2022
Ex-Wells Fargo Broker Jeremy Fortner Allegedly Borrowed Money From Clients Our broker misconduct lawyers investigate claims of losses involving former customers of ex-Wells Fargo Advisors registered representative Jeremy Fortner.
Date: March 16, 2022
Ex-Wells Fargo Clearing Services Advisor Allegedly Misappropriated Funds from Elderly Investors Mario Everildo Rivero is charged with two counts of wire fraud, one count of securities fraud, and one count of investment advisor fraud. ... The ex-Wells Fargo Clearing Services ...
Date: January 25, 2022
A former customer of Scott Reed, an ex-Wells Fargo Clearing Services broker, has filed a FINRA arbitration claim.
Date: December 20, 2021
Supervisory Failures Allegedly Resulted in Unsuitable Trades and Rollovers Wells Fargo Clearing Services and Wells Fargo Advisors have arrived at a settlement with the Financial Industry Regulatory Authority (FINRA).
Date: November 4, 2021
Former New Jersey Financial Advisor Allegedly Targeted Florida Doctors James Alan Seijas, an ex-Wells Fargo Clearing Services broker, was barred by the Financial Industry Regulatory Authority (FINRA) beginning November 2, 2021. ... This would have been during Seijas’ time as ...
Date: November 1, 2021
Senior Citizens Were Among Former Fairfield, NJ Financial Advisor’s Alleged Victims Kenneth Andrews Welsh, an ex-Wells Fargo Clearing Services broker, is now facing Securities and Exchange Commission (SEC) charges accusing him of misappropriating at least $2.86 million from brokerage firm ...
Date: September 30, 2021
Northstar Bermuda FINRA Arbitration Hearing to Take Place in Houston, Texas A couple who live in Mexico has filed a FINRA arbitration claim against Wells Fargo Clearing Services for the six-figure loss they sustained from investing in Northstar Financial Services ...
Date: August 9, 2021
Morgan Securities broker Gloria Willis, former Merrill Lynch stockbroker Evelyn Batista, and ex-Wells Fargo financial advisor Kenric Sexton have either been barred or suspended from the securities industry.
Date: May 24, 2021
New Jersey Financial Advisor’s Victims Included Older Investors Who Spoke Spanish Ramon Arturo Herrera, a former Wells Fargo (WFC) registered representative, is sentenced to 27 months in prison and three years of supervised release. ... The entire time, he was ...
