wells fargo problem Archives - Rex Securities Law-BLOG

Rex Securities Law
December 13, 2016
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Wells Fargo Fined $1M Over Consolidated Reports Provided to Customers

Wells Fargo Fined $1M Over Consolidated Reports Provided to Customers https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 13, 2016 December 13, 2016

December 2016 Wells Fargo was censured and fined $1,000,000 by the Financial Industry Regulatory Authority over its lack of supervision related to the preparation and dissemination of consolidated reports showing…

Rex Securities Law
June 4, 2015
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Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds

Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 4, 2015 May 5, 2016

April 28, 2015-Boca Raton, FL Richard Winsor Ohrn , was named in an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…