Search for: "Wells Fargo Securities, LLC"
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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, LLC, Richmond, VA—… [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, LLC, Richmond, VA—… [read post]
25 Jul 2019, 12:05 pm
Marc Francis Rogers has been registered with Wells Fargo Clearing Services, LLC in East Palo Alto, CA since July 6, 2010, FINRA states. [read post]
12 Jul 2019, 3:42 am
A recent FINRA OHO Panel Decision displays human folly in all its dubious glory.BackgroundNancy Kimball Mellon entered the securities industry in 1983, and by August 2012, she was registered with FINRA member firm Wells Fargo Clearing Services, LLC, where she remained until her December 7, 2016, termination. [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… [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]
12 Jun 2019, 12:00 pm
While several banks underwrote the securities, the investor fraud case is targeting Wachovia Capital Markets, LLC, an ex-Wachovia brokerage firm, that is now Wells Fargo Securities, LLC. [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]
10 Jun 2019, 2:05 pm
On June 3, the Federal Housing Finance Agency (FHFA), as conservator for the Federal Home Loan Mortgage Corporation (Freddie Mac), filed a lawsuit in the United States District Court for the Southern District of New York against Wells Fargo Securities, LLC (Wells Fargo) (as successor to Wachovia Capital Markets, LLC (Wachovia)), alleging a violation of Section 11 of the Securities Act. [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]
29 May 2019, 7:44 am
(CRD#:10740), Wells Fargo Advisors, LLC (CRD#:19616), and HSBC Securities (USA) INC. [read post]
24 May 2019, 7:25 am
According to BrokerCheck records financial advisor Richard Bernstein (Bernstein), currently employed by Wells Fargo Clearing Services, LLC (Wells Fargo) has been subject to at least eight customer complaints during the course of his career. [read post]
23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 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 Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody, Richard… [read post]
17 May 2019, 1:18 pm
Schmidt was discharged by his last employer, Wells Fargo Advisors Financial Network, LLC (CRD#:11025), of Dayton, OH, after allegations of “unauthorized money movement between clients,” and inaccurate account statements that were not generated or approved by Wells Fargo. [read post]
17 May 2019, 11:20 am
(CRD#: 2504369, aka “Will” or “Wilfredo”) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Boca Raton, FL. [read post]
11 May 2019, 11:47 am
Wells Fargo Bank, N.A. [read post]
10 May 2019, 11:37 am
Wells Fargo Bank, N.A. [read post]
29 Apr 2019, 12:55 pm
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International Inc., and Merrill Lynch, Pierce, Fenner & Smith. [read post]
25 Apr 2019, 12:02 pm
According to FINRA Disciplinary actions for April 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 Austin, Phillip JP Morgan Securities Chase Investment Services Bishop, Tywan Charles Schwab & Co E Trade Securities … [read post]
