wells fargo problem

Wells Fargo Fined $1M Over Consolidated Reports Provided to Customers
Wells Fargo Fined $1M Over Consolidated Reports Provided to Customers 150 150 Rex Securities Law

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…

read more

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 150 150 Rex Securities Law

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…

read more
Enter your
text here
Exit mobile version