Wells Fargo Archives - Rex Securities Law-BLOG

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June 27, 2023
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 27, 2023 June 27, 2023

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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June 21, 2023
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Robert Rich-Former Wells Fargo Advisor-Discloses a Regulatory Event and Termination- New York, NY

Robert Rich-Former Wells Fargo Advisor-Discloses a Regulatory Event and Termination- New York, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 21, 2023 June 21, 2023

Robert Rich Investigation June 2023– Farmington, UT According to publicly available records, Robert Grant Rich, a broker previously with Wells Fargo Advisors Financial Network, discloses a final regulatory matter resulting him…

ER
April 3, 2023
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Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements–Seeking $425K Damages -Iselin, NJ

Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements–Seeking $425K Damages -Iselin, NJ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 3, 2023 April 3, 2023

Stacy Mari Goldsmith Investigation April 2023– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes. The…

ER
March 31, 2023
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Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV

Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 31, 2023 March 31, 2023

Christopher Passero Investigation March 2023-Hurricane, WV According to publicly available records Christopher John Passero, a Money Concepts Capital Corp. broker discloses a regulatory event, prior customer dispute and a pending…

ER
March 8, 2023
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Gerardo Castillo- Insigneo Securities Broker- Discloses Settlement of Customer Suit-Miami, FL

Gerardo Castillo- Insigneo Securities Broker- Discloses Settlement of Customer Suit-Miami, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

Gerardo Castillo Investigation March 2023-Miami, FL According to publicly available records Gerardo I. Castillo, a broker who currently is working with Insigneo Services and before that, Wells Fargo, discloses settlement of…

ER
March 8, 2023
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Jose A. Vidal- Former Wells Fargo / Insigneo Securities Broker- Discloses Customer Suit-Miami, FL

Jose A. Vidal- Former Wells Fargo / Insigneo Securities Broker- Discloses Customer Suit-Miami, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

Jose A. Vidal Investigation March 2023-Miami, FL According to publicly available records Jose Antonio Vidal, a broker who currently is working with Insigneo Services and prior to that, Wells Fargo Advisors,…

Rex Securities Law
September 22, 2022
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William Moening-Wells Fargo Broker-Discloses Customer Dispute- Austin, TX

William Moening-Wells Fargo Broker-Discloses Customer Dispute- Austin, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 22, 2022 September 22, 2022

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…

ER
August 15, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 15, 2022 August 15, 2022

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…

ER
August 15, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 15, 2022 August 15, 2022

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)…