Marcus Parker Investigation October 2021-Santa Fe, New Mexico According to publicly available records Marcus Duane Parker , a former stockbroker who last worked for Wells Fargo Clearing Services discloses that he has been sued…
read moreAugust 2021- Tacoma, WA According to publicly available records, Gary L. Wells, a currently suspended financial advisor who previously was employed by American Wealth Management, Inc. and Wells Fargo, discloses a…
read moreNovember 2020- Clearwater, FL According to publicly available records Jason Dukas (CRD#4188239), a stockbroker with Stifel, Nicolaus & Company, discloses a regulatory event and a termination from employment. The Financial…
read moreNovember 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl , a stock broker who was, until recently, employed by Wells Fargo Advisors Financial Network , disclose a pending customer dispute and…
read moreJanuary 2019- Edmond, Oklahoma The FINRA records of David Kyle Ridenour , a stockbroker who is currently employed by Wells Fargo Clearing Services , disclose three prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…
read moreRichard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL
March 2018- Daytona Beach, Florida The FINRA records of Richard Alan Shotz , a stockbroker who was last employed by Wells Fargo and Morgan Stanley disclose a recent regulatory matter resulting in his suspension. The…
read moreDecember 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) , a stockbroker who is currently employed by Wells Fargo is the subject of a currently pending customer dispute. He discloses the settlement…
read moreSee this for April 2018 update. June 2017 -Lafayette, LA According to publicly available records Keith A. Fontenot (CRD#2296303) , a stockbroker who currently is employed by Wells Fargo Advisors, disclose 2 customer…
read moreJUNE 2017 Wells Fargo Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to report,…
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