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 moreWilliam Moening Investigation September 2022-Austin, TX The FINRA records of William R. Moening, a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
read moreScott Spruth Investigation August 2022- Newport Beach, CA According to FINRA records, Scott K. Spruth, a broker who previously worked for Wells Fargo, discloses 2 pending customer disputes. The Financial…
read moreBrian Turner Investigation August 2022-Ellicott City, MD The FINRA records of Brian C. Turner, a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA)…
read moreRaul J. Benitez Investigation May 2022-Aventura, FL According to publicly available records. Raul Jorge Benitez, a broker with Wells Fargo Clearing Services. discloses 3 prior customer disputes and a pending…
read moreJose A. Vidal Investigation April 2022- Miami, FL The FINRA records of Jose A. Vidal, a broker with Insigneo Securities who formerly worked for Wells Fargo Advisors, disclose a prior customer…
read moreGerardo 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 moreJames William Dunn, Jr. Investigation March 2022- Vienna, VA The FINRA records of James William Dunn, Jr, a currently unregistered broker who was last employed by Ameriprise Financial Services, disclose 19 prior…
read moreJason 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…
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