August 2021- Tacoma, WA According to publicly available records, Gary L. Wells, a currently suspended financial advisor who previously was employed by American Wealth Management, Inc. and Wells Fargo, discloses a…
read moreJanuary 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…
read moreOctober 2018-Frisco, Texas According to publicly available records J. Gordon Cloutier, Jr. , a former stockbroker who was last registered with Wells Fargo Advisors disclose two regulatory events, a prior customer dispute and…
read moreFebruary 2019-Wimberley, Texas The FINRA records of William (Bill) Glenn Downing , a former stock broker who was last employed by Coastal Equities Inc. disclose a prior regulator event, a pending customer dispute,…
read moreDecember 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…
read moreFebruary 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…
read moreApril 2018 Update-Berger pleads guilty to fraud. July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…
read moreApril 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…
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