Thomas Murray Investigation July 2022-Pasadena, CA According to publicly available records Thomas Wilson Murray , a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority…
read moreJames 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…
read moreJose 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…
read moreJason 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…
read moreMarcus 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…
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 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 moreApril 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…
read moreFebruary 2018-Woodcliff Lake, NY & Delray Beach, FL According to The Ridgewood Blog and other local press, Jeffrey Palish, DOB 2/23/1953 of 22 Oakwood Drive, Woodcliff Lake, New Jersey was arrested…
read more- 1
- 2