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Wells Fargo

Richard Bernstein-Wells Fargo Broker-Dislcoses 2 Pending & 6 Final Customer Disputes-Incline Village, NV
Richard Bernstein-Wells Fargo Broker-Dislcoses 2 Pending & 6 Final Customer Disputes-Incline Village, NV 150 150 Rex Securities Law

March 2019 – Incline Village, NV According to publicly available records  Richard Jay Bernstein  (CRD# 1113777) ,  a   registered stockbroker currently employed by Wells Fargo Clearing Services,  disclose 2 pending and 6…

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J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-Frisco, TX
J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-Frisco, TX 150 150 Rex Securities Law

October 2018-Frisco, Texas According to publicly available records J. Gordon Cloutier, Jr.   ,  a  former stockbroker who was last registered with Wells Fargo Advisors disclose two regulatory events, a prior customer dispute and…

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George E. Mathis-Raymond James Broker-Discloses Customer Suit-The Villages, FL
George E. Mathis-Raymond James Broker-Discloses Customer Suit-The Villages, FL 150 150 Rex Securities Law

June 2018-The Villages, Florida According to FINRA records, George Edward Mathis, a broker who is employed by Raymond James, discloses a pending customer dispute, 4 prior customer disputes and a…

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Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota
Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota 150 150 Rex Securities Law

November 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl  , a stock broker who was, until recently,  employed by Wells Fargo Advisors Financial Network , disclose  a pending customer dispute and…

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Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA
Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA 150 150 Rex Securities Law

April 2018 -Lafayette, LA According to publicly available records Keith A. Fontenot  (CRD#2296303) ,  a  stockbroker who currently is employed by Wells Fargo Clearing Services, disclose settlements in 2 customer disputes. The Financial…

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Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL
Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL 150 150 Rex Securities Law

April 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and…

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Kyle Ridenour-Wells Fargo Stockbroker-Subject of Customer Suit Alleging Investments in High Risk/Speculative Stocks-Edmond, OK
Kyle Ridenour-Wells Fargo Stockbroker-Subject of Customer Suit Alleging Investments in High Risk/Speculative Stocks-Edmond, OK 150 150 Rex Securities Law

January 2019- Edmond, Oklahoma The FINRA records of David Kyle Ridenour , a stockbroker who is currently employed  by Wells Fargo Clearing Services , disclose three prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, Texas
Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, Texas 150 150 Rex Securities Law

February 2019-Wimberley, Texas The FINRA records of  William (Bill) Glenn Downing ,  a  former stock broker who was last employed by Coastal Equities Inc.  disclose  a prior regulator event, a pending customer dispute,…

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Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL
Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL 150 150 Rex Securities Law

March 2018- Daytona Beach, Florida The FINRA records of  Richard Alan Shotz  ,  a  stockbroker who was last employed by  Wells Fargo and Morgan Stanley disclose a recent regulatory matter resulting in his suspension. The…

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