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wells fargo compliance problems

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…

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Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM

Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM 150 150 Rex Securities Law

May 2017-Las Cruces, NM The FINRA records of  Jeffrey R. Wilson  ,  a  stockbroker who is currently  registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…

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Wells Fargo Hit with $1.5 Million Regulatory Fine Over Anti Money Laundering Compliance Issues

Wells Fargo Hit with $1.5 Million Regulatory Fine Over Anti Money Laundering Compliance Issues 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) fined Wells Fargo Advisors $1.5 million due to its failure to comply with anti-money laundering regulatory requirements. According to the FINRA action, from 2003-2012…

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Wells Fargo Compliance Officer Sued By SEC For Altering Document

Wells Fargo Compliance Officer Sued By SEC For Altering Document 150 150 Rex Securities Law

Washington, DC An insider trading charge involving Burger King, Wells Fargo Advisors and a former broker has gone from bad to worse.  In September 2012, the Securities & Exchange Commission…

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Wells Fargo Accuses Workers of Opening Fake Accounts

Wells Fargo Accuses Workers of Opening Fake Accounts 150 150 Rex Securities Law

In a recent Los Angeles Times article Wells Fargo said it fired 30 branch employees in the Los Angeles area who had opened accounts that were never used and attempted to…

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Wells Fargo Broker James Arnold Busch Barred For Theft From Elderly Women

Wells Fargo Broker James Arnold Busch Barred For Theft From Elderly Women 150 150 Rex Securities Law

  On October 11,2013, a Letter of Acceptance Waiver and Consent was finalized between FINRA and James Arnold Busch, a broker with Wells Fargo Advisors since 2000, barring him from…

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Ex-Wells Fargo Broker Adorean Boleancu Barred By FINRA-Check Writing Scam

Ex-Wells Fargo Broker Adorean Boleancu Barred By FINRA-Check Writing Scam 150 150 Rex Securities Law

Writing checks for over $650,000 from a client account without permission resulted in the permanent bar from the industry for Adorean Boleancu, who formerly worked for Wells Fargo Private Bank…

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