fbpx

Wells Fargo Advisors investigation

David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ

David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ 150 150 ER

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 more

James A. Seijas- Former Wells Fargo Broker-Barred From Industry by Securities Regulator-Short Hills, NJ

James A. Seijas- Former Wells Fargo Broker-Barred From Industry by Securities Regulator-Short Hills, NJ 150 150 ER

James 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 more

Gerardo Castillo-Insigneo Securities Broker-Discloses Customer Dispute- Miami, FL

Gerardo Castillo-Insigneo Securities Broker-Discloses Customer Dispute- Miami, FL 150 150 ER

Gerardo 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 more

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…

read more

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…

read more

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…

read more

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ 150 150 Rex Securities Law

February 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 more

Robert Batchen-Former Uhlmann Price Securities Broker-Discloses a Regulatory Event, Customer Suits and Terminations from Employment-Chicago, IL

Robert Batchen-Former Uhlmann Price Securities Broker-Discloses a Regulatory Event, Customer Suits and Terminations from Employment-Chicago, IL 150 150 Rex Securities Law

June 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

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…

read more

This site is protected by wp-copyrightpro.com