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Search Results: wells fargo
Results 10-20 of about 162
Date: December 28, 2020
New FINRA Arbitration Claim Seeks $260K in Damages Former Wells Fargo Clearing Services (WRET) broker Herbert Lee Weith IV is named in yet another customer dispute in which the claimant is seeking damages for losses involving variable annuities. Weith, who ...
Date: December 4, 2020
FINRA Suspends Texas Broker For Three Months Kurt Jason Gunter, a Wells Fargo Clearing Services (WRET) registered representative in Bee Cave, Texas, was recently sanctioned by the Financial Industry Regulatory Authority (FINRA). ... The broker, who is also a registered ...
Date: June 3, 2020
Fired Wells Fargo Representative is Barred by FINRA The Financial Industry Regulatory Authority (FINRA) announced this month that it is barring former Wells Fargo Advisors Financial Network broker, Leonard Charles Kinsman , from the industry. The ban comes after Kinsman ...
Date: March 13, 2020
Wells Fargo Stockbroker Accused Of Overconcentration & Unsuitable Investments Wells Fargo Clearing Services broker, Jeffrey Eiler, has been the subject of 12 customer investment loss disputes, most of which were settled and a few that were denied.
Date: March 4, 2020
Wells Fargo Sold Non-Traditional ETFs to Retail Investors If you were an investor who suffered losses in non-traditional exchange-traded funds (ETFs) that you feel were unsuitable for you yet were recommended by a Wells Fargo investment advisor or broker, our ...
Date: February 13, 2020
Ex-Morgan Stanley Broker Sentenced To 30 Months Please contact Shepherd Smith Edwards and Kantas (SSEK Law Firm) if Elias Herbert Hafen, a former Morgan Stanley (MS) and Wells Fargo (WFC) broker, was your financial representative when you suffered substantial investment ...
Date: October 18, 2019
SSEK Investigating Stephen Klinger, ex-Wells Fargo Advisor Shepherd, Smith, Edwards & Kantas (“SSEK”), a law firm specializing in representing wronged investors, is looking into allegations against ex-broker Stephen Klinger for trading options for a client in his own account. ... ...
Date: October 15, 2019
Our investor fraud lawyers at SSEK Law Firm are looking into claims involving former Wells Fargo (WFC) broker Leonard Kinsman (Kinsman). ... Until July 2019, Kinsman belonged to the Wells Fargo Financial Network of brokers that operate independently, even as ...
Date: September 10, 2019
Elias Herbert Hafen was a registered Morgan Stanley rep. from 2009 until 2018 and then briefly went to work for Wells Fargo Clearing Services. According to his BrokerCheck record , Wells Fargo (WFC) fired him after just several months because ...
Date: August 9, 2019
The Financial Industry Regulatory Authority (FINRA) has taken action against two former Wells Fargo (WFC) representatives. ... Garris was fired by Wells Fargo over a year ago. ... Wells Fargo has since refunded the commissions that Garris made from the ...
