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…
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 moreGerardo Castillo Investigation March 2022- Miami, FL The FINRA records of Gerardo Ivan Castillo, a broker with Insigneo Securities and who formerly worked for Wells Fargo Clearing Services, disclose a prior customer dispute.…
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 morePeter 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…
read moreNovember 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 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 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 moreApril 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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