Wells Fargo Advisors problem Archives - Rex Securities Law-BLOG

Rex Securities Law
November 16, 2021
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Kurt Gunter Discloses Sanctions by Texas Securities Regulator & FINRA -Austin,TX

Kurt Gunter Discloses Sanctions by Texas Securities Regulator & FINRA -Austin,TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 16, 2021 November 16, 2021

Kurt Gunter Investigation November 2021-Bee Cave, Texas Gunter Sanctioned by FINRA According to his FINRA record Kurt Jason Gunter a financial advisor who was last employed as a registered broker…

ER
September 23, 2021
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Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX

Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g September 23, 2021 September 23, 2021

Peter Ianace Investigation-Plano, TX The FINRA records of Peter Ianace , a former financial advisor who was last employed by Wells Fargo Clearing Services, disclose a regulatory event and three customer…

Rex Securities Law
January 30, 2020
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Wells Fargo Advisors Fined by Regulator for Account Churning

Wells Fargo Advisors Fined by Regulator for Account Churning https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 30, 2020 January 30, 2020

January 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…

Rex Securities Law
April 17, 2018
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Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL

Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 17, 2018 April 17, 2018

April 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and…

Rex Securities Law
April 30, 2017
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Richard T. Lucker-Former Morgan Stanley Broker-Discloses $14M Customer Dispute-El Paso, TX

Richard T. Lucker-Former Morgan Stanley Broker-Discloses $14M Customer Dispute-El Paso, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 30, 2017 April 30, 2017

April 2017-El Paso, Texas The FINRA records of Richard T. Lucker , a stockbroker who is currently employed by Wells Fargo Clearing Services disclose a pending dispute in which a customer seeks damages in excess of…

Rex Securities Law
February 13, 2017
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Matthew Maczko-Former Wells Fargo Broker- Barred by Securities Regulators-Churning

Matthew Maczko-Former Wells Fargo Broker- Barred by Securities Regulators-Churning https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 13, 2017 March 27, 2017

February 2017- Oak Brook, Illinois According to publicly available records Matthew Christopher Maczko , (CRD# 1888519) , a former stockbroker who was last employed by Wells Fargo Advisors, LLC, discloses that FINRA has permanently…

Rex Securities Law
August 5, 2016
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Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX

Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 5, 2016 July 10, 2017

Denton, Texas UPDATE JULY 2017–FINRA records disclose that arbitration 15-3427, discussed below, was settled 2/2017 for $117,477. August 2016-ORIGINAL POST The FINRA records of Robert Kyle Ratcliff , a stock broker who is currently employed…

Rex Securities Law
July 18, 2016
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Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes

Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 18, 2016 July 18, 2016

July 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III , a former stock broker employed by Newport Coast Securities , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…

Rex Securities Law
July 10, 2016
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David K. Rubenstein-Former Ameriprise Broker-Discloses Terminations from Employment

David K. Rubenstein-Former Ameriprise Broker-Discloses Terminations from Employment https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 10, 2016 July 10, 2016

July 2016- Troy, Michigan The FINRA records of David K. Rubenstein , a stock broker currently employed by L.M. Kohn & Company, disclose a prior final customer dispute, a prior final financial disclosure and 2 prior…