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Wells Fargo

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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Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA

Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA 150 150 ER

Thomas Murray Investigation July 2022-Pasadena, CA According to publicly available records Thomas Wilson Murray ,  a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority…

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Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA

Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA 150 150 ER

Antoine Souma Investigation May  2022-Beverly Hills, CA According to publicly available records Antoine Nabih Souma, a broker with Insigneo Advisory Services discloses a regulatory event, a prior customer dispute and a…

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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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Tyler Rigsbee- Former Wells Fargo Broker- Permanently Barred from FINRA- Sacramento, CA

Tyler Rigsbee- Former Wells Fargo Broker- Permanently Barred from FINRA- Sacramento, CA 150 150 ER

Tyler Rigsbee Investigation May  2022 – Sacramento, CA According to publicly attained records, Tyler Michael Rigsbee, a former stockbroker who was last employed by Wells Fargo Clearing Services,  discloses a…

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James A. Seijas- Former Wells Fargo Broker-Barred From Industry by Securities Regulator-Short Hills, NJ

James A. Seijas- Former Wells Fargo Broker-Barred From Industry by Securities Regulator-Short Hills, NJ 150 150 ER

James A. Seijas Investigation April 2022- Bloomington, MN  The FINRA records of  James A. Seijas ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a…

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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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