Search for: "Wells Fargo Securities, LLC."
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7 May 2020, 6:59 am
Benson was reportedly registered with Wells Fargo Clearing Services from 2007 to 2020, according to a Letter of Acceptance, Waiver and Consent (AWC). [read post]
1 Feb 2024, 1:34 pm
According to FINRA Disciplinary actions for January 2024, 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 Scott Reed First Financial Equity Corporation Wells Fargo Clearing Services, LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
7 Jul 2021, 1:40 pm
Idean Esfahani Wells Fargo Clearing Services, LLC Justyn Euan Wells Fargo Clearing Services, LLC Ngonidzashe Parirenyatwa Wells Fargo Clearing Services, LLC Planco Financial Services, LLC Laquita Antionette Pettis Wells Fargo Clearing Services, LLC Rodney Repko Lincoln Financial Advisors Corporation … [read post]
19 Sep 2016, 7:35 am
Since December 2015, Braley has been associated with Wells Fargo Advisors, LLC out of the firm’s Saginaw, Michigan office location. [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers… [read post]
23 Apr 2016, 8:43 am
According to Brokercheck records, Charles Frieda (Frieda) currently with Wells Fargo Advisors, LLC (Wells Fargo) and operating from their offices in Irvine, California has recently received at least 17 customer complaints with similar allegations that the broker overconcentrated them in oil and gas equities, preferred stock, and debt. [read post]
28 Aug 2022, 8:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) at the time of the activity. [read post]
28 Dec 2020, 1:55 pm
Peter Ianace (Peter Vincent Ianace CRD#: 3238078) is a formerly registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Plano, TX. [read post]
18 May 2022, 6:39 am
His previous employers were Wells Fargo Advisors, LLC (CRD#:19616), also of Westlake Village, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of New York, NY. [read post]
31 Jul 2015, 2:58 pm
Berger had misappropriated funds from elderly customers with registered with Wells Fargo Advisors LLC and MetLife Securities, Inc. [read post]
6 Mar 2018, 8:02 am
Brian Patrick Hurley MML Investors Services, LLC NYLife Securities LLC Lindsey Marie Katula Wells Fargo Clearing Services, LLC Wells Fargo Advisors, LLC Jason Harris Klabal Alexander Capital, L.P. [read post]
7 Jun 2024, 6:44 am
Wells Fargo Investments, LLC David Ferneding Stifel, Nicolaus & Company, Incorporated Wells Fargo Clearing Services, Inc. [read post]
10 Nov 2023, 8:25 am
His prior employer was Wells Fargo Clearing Services, LLC (CRD#:19616), also of Tucson. [read post]
14 Jul 2022, 8:28 am
His previous employers were Wells Fargo Advisors, LLC (CRD#:19616), also of Wilmington, and Charles Schwab & Co., Inc. [read post]
21 Apr 2021, 6:33 am
His previous employers are Wells Fargo Clearing Services, LLC (CRD#:19616) of St. [read post]
28 May 2021, 7:21 am
According to FINRA Disciplinary actions for March 2021, 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 Jason Allen Wells Fargo Clearing Services, LLC Morgan Stanley Carl Birkelbach Birkelbach Investment Securities, Inc. [read post]
16 Feb 2022, 12:32 pm
Wells Fargo Clearing Services, LLC et al., File No. 2019CV328949, Superior Court of Georgia, Fulton County (January 25, 2022). [read post]
3 Dec 2021, 1:29 pm
Her previous employers include Wells Fargo Clearing Services, LLC, CRD 19616, of Tampa, FL, Cetera Investment Services, (CRD#:15340) of Newport Richey, Florida, and Wells Fargo Advisors, LLC (CRD#: 19616) of Ellenton, Florida. [read post]
2 Nov 2023, 6:55 am
His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. [read post]
6 Feb 2023, 9:14 am
Ex-Wells Fargo Advisor Mario Rivero Jr. [read post]
