Search for: "Wells Fargo Investments LLC" Results 121 - 140 of 571
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28 Feb 2022, 3:42 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration Award)SEC Charges Former Broker for Stealing from Elderly Investors (SEC Release)SEC Charges Investment Adviser with Failing... [read post]
23 Jul 2013, 12:44 pm by D. Daxton White
” According to Broker Check, Boleancu worked with Morgan Stanley & Co from 04/2007 – 02/2008, Wells Fargo Investments from 02/2008 to 01/2011, and Wells Fargo Adivisors from 01/2011 – 12/2011, during the relevant time. [read post]
28 Mar 2023, 8:52 am by Silver Law Group
Sevag Haddadian (Sevag Raffi Haddadian CRD# 3249290) is a previously registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Brea, CA. [read post]
2 May 2012, 6:29 am by Mark Astarita
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
31 Jan 2019, 7:56 am by Silver Law Group
Michael Turner Morrissett (CRD #1456789) is a registered broker and investment advisor who is currently employed with Wells Fargo Clearing Services, LLC (CRD #19616) of Roanoke, VA. [read post]
5 Jun 2012, 1:22 pm by D. Daxton White
. (“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
5 Jun 2012, 1:22 pm by D. Daxton White
. (“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
5 Jun 2012, 1:22 pm by D. Daxton White
(“HTA”) recently announced that Wells Fargo Securities, LLC will advise the Company in connection with the listing of its Class A common stock on the New York Stock Exchange (“NYSE”). [read post]
3 Jul 2017, 1:52 pm by Adam Weinstein
  Lucker is currently employed by Wells Fargo Clearing Services, LLC (Wells Fargo). [read post]
9 Feb 2009, 3:09 pm
., Wells Fargo Securities, LLC, Bank of America Securities LLC, Merrill Lynch & Co. [read post]
31 Aug 2018, 1:52 pm by Silver Law Group
His last registered employer was Wells Fargo Clearing Services, LLC (CRD #19616) of Union City, NJ. [read post]
1 Jun 2015, 8:24 pm by D. Daxton White
Did you suffer investment losses as a result of your dealings with former Wells Fargo Advisor Alejandro Ariel Torres? [read post]
13 Dec 2018, 2:00 pm by Silver Law Group
(CRD #6694) of Garden City, NY, and Wells Fargo Advisors, LLC (CRD #19616) of Great Neck, NY. [read post]
18 Jan 2019, 9:35 am by Silver Law Group
(CRD #6694) of Garden City, NY, Wells Fargo Advisors, LLC (CRD #19616) of Melville, NY, and David Lerner Associates, Inc. [read post]
11 Apr 2021, 9:05 am by Staff Attorney
  According to records kept by FINRA Ianace was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) and Merrill Lynch Pierce, Fenner & Smith Incorporated (Merrill Lynch) through June 2020 when he abruptly resigned when he refused to cooperate in FINRA’s investigation over these allegations. [read post]
23 Aug 2018, 5:05 am by Staff Attorney
In addition, in January 2018, Manor resigned from Wells Fargo Clearing Services, LLC (Wells Fargo) due to customer allegations that Manor had recommended the customer to invest in unsuitable investments outside of the firm. [read post]
23 Apr 2016, 8:43 am by Adam Weinstein
  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]
27 Aug 2018, 10:36 am by Silver Law Group
Stucker (CRD #2197844) is a registered broker and investment advisor, currently registered with Wells Fargo Clearing Services, LLC (CRD #19616) of Fort Worth, TX. [read post]