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Wells Fargo

David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ

David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ 150 150 ER

David Lee Todd Investigation June 2023-Peoria, AZ According to publicly available records David Lee Todd a Wells Fargo Clearing Services broker, discloses a pending customer dispute.  The Financial Industry Regulatory Authority (FINRA) is…

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Robert Rich-Former Wells Fargo Advisor-Discloses a Regulatory Event and Termination- New York, NY

Robert Rich-Former Wells Fargo Advisor-Discloses a Regulatory Event and Termination- New York, NY 150 150 ER

Robert Rich Investigation June 2023– Farmington, UT According to publicly available records, Robert Grant Rich, a broker previously with Wells Fargo Advisors Financial Network,  discloses a final regulatory matter resulting him…

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Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements–Seeking $425K Damages -Iselin, NJ

Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements–Seeking $425K Damages -Iselin, NJ 150 150 ER

Stacy Mari Goldsmith Investigation April 2023– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes. The…

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Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV

Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV 150 150 ER

Christopher Passero Investigation March 2023-Hurricane, WV According to publicly available records Christopher John Passero,  a Money Concepts Capital Corp. broker discloses a regulatory event, prior customer dispute and a pending…

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Jose A. Vidal- Former Wells Fargo / Insigneo Securities Broker- Discloses Customer Suit-Miami, FL

Jose A. Vidal- Former Wells Fargo / Insigneo Securities Broker- Discloses Customer Suit-Miami, FL 150 150 ER

Jose A. Vidal Investigation March  2023-Miami, FL  According to publicly available records Jose Antonio Vidal,  a broker who currently is working with Insigneo Services and prior to  that, Wells Fargo Advisors,…

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William Moening-Wells Fargo Broker-Discloses Customer Dispute- Austin, TX

William Moening-Wells Fargo Broker-Discloses Customer Dispute- Austin, TX 150 150 Rex Securities Law

William Moening Investigation September 2022-Austin, TX  The FINRA records of William R. Moening,  a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Scott Spruth-Former Wells Fargo Broker-Discloses 2 Customer Disputes -Newport Beach, CA

Scott Spruth-Former Wells Fargo Broker-Discloses 2 Customer Disputes -Newport Beach, CA 150 150 ER

Scott Spruth Investigation August 2022- Newport Beach, CA According to FINRA records,  Scott K. Spruth,  a broker  who previously worked for Wells Fargo, discloses 2 pending customer disputes. The Financial…

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Brian Turner-Wells Fargo Broker-Discloses Customer Dispute- Ellicott City, MD

Brian Turner-Wells Fargo Broker-Discloses Customer Dispute- Ellicott City, MD 150 150 ER

Brian Turner Investigation August 2022-Ellicott City, MD The FINRA records of Brian C. Turner,  a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA)…

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