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Wells Fargo Advisors problem

South Carolina Regulators Revoke Registration of Broker William B. Guido
South Carolina Regulators Revoke Registration of Broker William B. Guido 150 150 Rex Securities Law

March 11, 2015-Mount Pleasant, South Carolina The Securities Commissioner of South Carolina revoked, by default, the registration of William Benton Guido permanently barring him from engaging in the securities business…

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Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry
Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry 150 150 Rex Securities Law

March 5, 2015-Boynton Beach, FL Kamran Daryush Nougzust   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  Nougzust failed to provide…

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Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator
Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 19, 2015- San Antonio, Texas  Joseph DiRago, Jr.    entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between June 2011…

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