Wells Fargo Advisors problem Archives - Page 2 of 3

Rex Securities Law
June 20, 2016
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Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 20, 2016 June 20, 2016

Austin, Texas According to FINRA records, Rhonda Janeen Matthews (aka Rhonda Allen) , a former stockbroker who most recently worked for Prospera Financial Services , discloses a regulatory event, a termination and 2 outstanding…

Rex Securities Law
June 17, 2016
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Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event

Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 17, 2016 June 17, 2016

Plano, Texas According to FINRA records, Charles L. Evans , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment and one final regulatory event. The Financial Industry Regulatory…

Rex Securities Law
May 16, 2016
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Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS

Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 16, 2016 February 28, 2019

February 2019-Leawood, KS The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

Rex Securities Law
January 11, 2016
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FINRA Fines Firms for Violations in 2015

FINRA Fines Firms for Violations in 2015 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 11, 2016 January 11, 2016

January 8, 2015 The Investment News published a summary of the largest penalties handed out in 2015 by the Financial Industry Regulatory Authority (FINRA), which included: Puerto Rican Bonds-A fine…

Rex Securities Law
November 11, 2015
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Brian Berger Facing Wire Fraud Charges-Coral Springs, FL

Brian Berger Facing Wire Fraud Charges-Coral Springs, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 11, 2015 April 17, 2018

April 2018 UPDATE-Berger pleads guilty. See this for details. UPDATE October 2016-BRIAN BERGER FACES WIRE FRAUD CHARGES. The Sun Sentinel reports that Brian M. Berger, 39, of Coral Springs, pleaded…

Rex Securities Law
August 12, 2015
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Wells Fargo Advisors Fined $500,000 for Sale of Structured Products

Wells Fargo Advisors Fined $500,000 for Sale of Structured Products http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 12, 2015 April 12, 2016

August 9, 2015 Wells Fargo Advisors entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 2005-July 2012, the…

Rex Securities Law
June 22, 2015
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Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account

Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2015 April 12, 2017

June 22, 2015 Tyler Powell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he exercised discretion in a…

Rex Securities Law
April 23, 2015
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Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission

Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 23, 2015 April 28, 2016

April 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates, for ten days for exercising discretion in a client account…

Rex Securities Law
April 14, 2015
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Florida Stockbroker Lost While Fishing at Sea Staged Disappearance

Florida Stockbroker Lost While Fishing at Sea Staged Disappearance http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 14, 2015 April 28, 2016

April 13, 2015- Boca Raton, FL The Sun Sentinel reports that Richard Ohrn, 44, a former local stock broker who disappeared while fishing in the Atlantic ocean a few weeks back, has…