Search for: "WELLS FARGO ADVISORS, LLC"
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24 Dec 2019, 7:38 am
According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Amparo, Nelson Citizens Securities, Inc Santander Securities LLC Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Brown, Andrew Worden Capital… [read post]
24 Dec 2019, 7:19 am
Morgan Securities LLC World Financial Group Williams, Minjoe Wells Fargo Clearing Services, LLC National Securities Corporation Wright, Tiana Northwestern Mutual Investment Services LLC FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services… [read post]
26 Nov 2019, 7:23 am
Wells Fargo Clearing Services, LLC Raymond James & Associates, Inc Soliman, Fadi IBN Financial Services, Inc Ameriprise Financial Services, Inc. [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley, Jevon… [read post]
26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp Devaney, Patrick… [read post]
22 Nov 2019, 5:51 am
Brownstein, Wachtell, Lipton, Rosen & Katz, on Wednesday, November 20, 2019 Tags: Boards of Directors, Compliance and disclosure interpretation, Disclosure, ESG, Institutional Investors, Proxy advisors, Risk, Risk management, Risk oversight, Shareholder voting, Sustainability, Wells Fargo Letter by SEC Commissioner Robert J. [read post]
12 Oct 2019, 8:04 am
From September 2010 until September 2013 Stow was registered with Wells Fargo Advisors, LLC. [read post]
11 Oct 2019, 5:08 am
From July 2003 until February 2014 Montes was registered with Wells Fargo Advisors, LLC. [read post]
13 Sep 2019, 5:49 am
Garrett (Duke University School of Law), on Thursday, September 12, 2019 Tags: Board oversight, Boards of Directors, Compliance & ethics, Compliance and disclosure interpretation, Compliance officer, Corporate crime, Misconduct, Oversight, Securities enforcement, Wells Fargo Stakeholder Governance and the Freedom of Directors to Embrace Long-Term Value Creation Posted by Richard S. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors… [read post]
30 Jul 2019, 9:28 am
Wells Fargo Advisors, LLC and David W. [read post]
29 Jul 2019, 12:27 pm
[contact-form-7]Contact UsShow less John Marion Hopper is not currently registered as an Investment Adviser Representative John Marion Hopper is not currently registered as an investment adviser representative, FINRA states, but was also registered at the following firms: FTB Advisors, Inc., Richmond, VA— September 24, 2010 to June 12, 2015FTB Advisors, Inc., Memphis, TN— April 11, 2012 to October 10, 2013 Wells Fargo Advisors,… [read post]
29 Jul 2019, 12:27 pm
[contact-form-7]Contact UsShow less John Marion Hopper is not currently registered as an Investment Adviser Representative John Marion Hopper is not currently registered as an investment adviser representative, FINRA states, but was also registered at the following firms: FTB Advisors, Inc., Richmond, VA— September 24, 2010 to June 12, 2015FTB Advisors, Inc., Memphis, TN— April 11, 2012 to October 10, 2013 Wells Fargo Advisors,… [read post]
12 Jul 2019, 3:42 am
Also, Wells Fargo maintained the Financial Advisor Expense Manag... [read post]
1 Jul 2019, 12:46 pm
Morgan Keegan & Company, Inc Avent, Meiewyn Alliance-One Investments, LLC Metlife Investors Distribution Company Bougopoulkos, Nicholas Wells Fargo Securities, LLC Stifel Financial Corp Cook, Marian Farmers Financial Solutions, LLC Corley, Robert Fidelity Brokerage Services LLC Redstone Securities, Inc Detamore, Craig Allstate Financial Services,… [read post]
1 Jul 2019, 12:43 pm
Kohn & Company Rumayor, Juan Farmers Financial Solutions, LLC HSBS Securities (USA) Inc Salcedo, Alex Scottrade, Inc Wells Fargo Clearing Services, LLC Webb, James Jr. [read post]
1 Jul 2019, 12:40 pm
Legend Securities, Inc Torres, John JP Morgan Securities LLC Wells Fargo Bank Whiting, David Alternative Asset Investment Mgmt. [read post]
11 Jun 2019, 9:29 am
According to BrokerCheck records financial advisor Leonard Kinsman (Kinsman), currently employed by Wells Fargo Advisors Network, LLC (Wells Fargo) has been subject to at least five customer complaints during the course of his career. [read post]
29 May 2019, 8:50 am
Herbert Hafen (CRD#: 867068, aka Elias Herbert Hafen, E Herbert Niggebrugge, Elias Niggebrugge) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of New York, NY. [read post]
