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…
read moreOctober 2020- The Woodlands, TX According to publicly available records Richard DeYoung, Jr. (CRD#863849), a stockbroker with Wells Fargo Clearing Services, discloses that a FINRA arbitration panel awarded substantial damages…
read moreJune 2020-Staten Island, NY According to publicly available records of Leonard “Lenny” Kinsman (CRD#2816535) , a former broker who was last registered with Wells Fargo Advisors Financial Network, discloses 5 prior…
read moreOctober 2020-Birmingham, AL According to publicly available records of Joseph Monroe Lawrence, III (CRD#5605961) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses a regulatory event and…
read moreFebruary 2020-Jersey City, NJ According to publicly available records of Ramon Arturo Herrera (CRD#6021170) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses 2 regulatory events and…
read moreJanuary 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…
read moreNovember 2019- New York, NY The FINRA records of Herbert “Elias” Hafen , a financial advisor previously employed by Morgan Stanley, disclose a prior regulatory event, a pending criminal matter, a…
read moreJanuary 2020 -Melville, New York According to publicly available records Apostolos Nicolas Pitsironis (also known as Paul Pitsironis) , discloses that he was recently barred from the securities industry for…
read moreJune 2019 – Skokie, IL According to publicly available records, former Uhlmann Price Securities broker Robert James Batchen discloses prior regulatory events, 4 prior customer disputes and 2 terminations from…
read more