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Wells Fargo

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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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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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Raul J Benitez- Wells Fargo Clearing Broker- Discloses Customer Disputes – Aventura- FL
Raul J Benitez- Wells Fargo Clearing Broker- Discloses Customer Disputes – Aventura- FL 150 150 ER

Raul J. Benitez Investigation May  2022-Aventura, FL According to publicly available records. Raul Jorge Benitez, a broker with Wells Fargo Clearing Services. discloses 3 prior customer disputes and a pending…

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Jose A. Vidal-Insigneo Securities Broker-Discloses Customer Dispute- Miami, FL
Jose A. Vidal-Insigneo Securities Broker-Discloses Customer Dispute- Miami, FL 150 150 ER

Jose A. Vidal  Investigation April 2022- Miami, FL  The FINRA records of Jose A. Vidal,  a broker with Insigneo Securities who formerly worked for Wells Fargo Advisors,  disclose a prior customer…

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Gerardo Castillo-Insigneo Securities Broker-Discloses Customer Dispute- Miami, FL
Gerardo Castillo-Insigneo Securities Broker-Discloses Customer Dispute- Miami, FL 150 150 ER

Gerardo Castillo Investigation March 2022- Miami, FL The FINRA records of Gerardo Ivan Castillo,  a broker with Insigneo Securities and who formerly worked for Wells Fargo Clearing Services,  disclose a prior customer dispute.…

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James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA
James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA 150 150 ER

James William Dunn, Jr. Investigation March 2022- Vienna, VA The FINRA records of James William Dunn, Jr,  a currently unregistered broker who was last employed by Ameriprise Financial Services,  disclose  19 prior…

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Jason Jaynes-Former Merrill Lynch Advisor-Subject of $18M Customer Suit-Plano, Texas
Jason Jaynes-Former Merrill Lynch Advisor-Subject of $18M Customer Suit-Plano, Texas 150 150 Rex Securities Law

Jason R. Jaynes Investigation November 2021-Plano, TX According to publicly available records Jason R. Jaynes  ,  a  stockbroker who was previously registered with Merrill Lynch, discloses a pending customer dispute which is…

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