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Wells Fargo

Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY

Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY 150 150 ER

Nicholas Palumbo Investigation December 2021- Armonk, NY According to publicly available records Nicholas R. Palumbo,  a  former stockbroker who last worked for Park Avenue Securities discloses that he has been sued by…

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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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Richard Demetriou-Former Titan Securities Broker-Barred From Securities Industry-Addison, TX

Richard Demetriou-Former Titan Securities Broker-Barred From Securities Industry-Addison, TX 150 150 ER

Richard Demetriou Investigation November 2021-Addison, Texas According to publicly available records Richard Wayne Demetriou,  a  former stockbroker who last worked for Titan Securities discloses a regulatory event, three customer disputes and a…

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Marcus Parker-Former Wells Fargo Broker-Barred From Securities Industry-Santa Fe, N. Mexico

Marcus Parker-Former Wells Fargo Broker-Barred From Securities Industry-Santa Fe, N. Mexico 150 150 Rex Securities Law

Marcus Parker Investigation October 2021-Santa Fe, New Mexico According to publicly available records Marcus Duane Parker  ,  a  former stockbroker who last worked for Wells Fargo Clearing Services discloses that he has been sued…

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Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX

Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX 150 150 ER

Peter Ianace Investigation-Plano, TX  The FINRA records of  Peter Ianace ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a regulatory event and three customer…

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Gary Wells- Former Wells Fargo Advisors Broker- Discloses Regulatory Events and a Termination From Employment – Tacoma, WA

Gary Wells- Former Wells Fargo Advisors Broker- Discloses Regulatory Events and a Termination From Employment – Tacoma, WA 150 150 ER

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…

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David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX

David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX 150 150 ER

August 2021- Frisco, TX According to publicly recorded records, David Ray Oakes,  a financial advisor employed by Prospera Financial Services,  discloses a regulatory event,  and a termination from employment. The…

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Jason Dukas-Former Stifel Nicolaus & Co Broker-Discloses Regulatory Event and a Termination- Clearwater, FL

Jason Dukas-Former Stifel Nicolaus & Co Broker-Discloses Regulatory Event and a Termination- Clearwater, FL 150 150 Rex Securities Law

November 2020- Clearwater, FL According to publicly available records Jason Dukas (CRD#4188239), a  stockbroker with  Stifel, Nicolaus & Company, discloses a regulatory event and a termination from employment. The Financial…

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