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Wells Fargo

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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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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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Jeffrey L. Eglow- Newbridge Securities Broker-Has Customer Complaints- Boca Raton, FL
Jeffrey L. Eglow- Newbridge Securities Broker-Has Customer Complaints- Boca Raton, FL 150 150 Rex Securities Law

Jeffrey L. Eglow Investigation April 2022- Boca Raton, FL According to publicly available records, Newbridge Securities Corporation  financial advisor Jeffrey Eglow,   discloses 4 prior customer disputes. The Financial Industry Regulatory Authority…

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Mario Rivero Investigation -Former Wells Fargo Broker-Red Bank, New Jersey
Mario Rivero Investigation -Former Wells Fargo Broker-Red Bank, New Jersey 150 150 Rex Securities Law

Mario E. Rivero Investigation March 2022-Red Bank, New Jersey We are investigating former Wells Fargo financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent bar…

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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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