Search for: "Wells Fargo Securities LLC"
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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]
23 Mar 2016, 8:02 am
”The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
24 Aug 2015, 7:16 am
(King) concerning allegations that from July 2009, through November 2012, while King was registered Morgan Stanley Smith Barney LLC (Morgan Stanley) and later Wells Fargo Advisors, LLC (Wells Fargo), circumvented Wells Fargo’s policies and procedures by assisting another broker in concealing nearly $400,000 in loans to three firm customers, loaned $25,000 to a customer without permission, participated in an undisclosed… [read post]
15 Mar 2022, 12:18 pm
According to his broker report, Mario Rivero Jr. was affiliated with the following firms during his career in the securities industry: 09/28/2020 – 06/04/2021, LPL FINANCIAL LLC (CRD#:6413), RED BANK, NJ, 12/02/2010 – 10/01/2020, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), ELIZABETH, NJ How to Recover Financial Losses When brokers violate securities laws, such as making unauthorized… [read post]
8 May 2020, 9:25 am
Wells Fargo Clearing Services, LLC Raymond James & Associates, Inc. [read post]
24 Feb 2023, 4:59 pm
Dougherty was previously employed by Wells Fargo Clearing Services LLC. [read post]
18 Jan 2019, 9:35 am
(CRD #6694) of Garden City, NY, Wells Fargo Advisors, LLC (CRD #19616) of Melville, NY, and David Lerner Associates, Inc. [read post]
19 Feb 2021, 1:06 pm
The post Ex-Wells Fargo Advisor Scott Reed Barred from Securities Industry appeared first on The White Law Group. [read post]
7 Nov 2022, 2:30 am
Wells Fargo Clearing Services, LLC, Defendant/Appellee (Opinion, 11Cir)... [read post]
28 Jun 2016, 1:43 pm
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
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]
2 Aug 2018, 12:55 pm
The investment fraud attorneys at Gana Weinstein LLP have been investigating Wells Fargo Clearing Services, LLC (Wells Fargo) broker Walter Stucker (Stucker). [read post]
10 May 2019, 11:37 am
Wells Fargo Bank, N.A. [read post]
13 Mar 2016, 6:07 am
The complaint alleges that on or about May 2011, the couple had become completely retired and had a securities backed loan with Wells Fargo secured by their investment account. [read post]
15 Mar 2015, 5:46 am
Melzer entered the securities industry in 2008 when he became registered with Wells Fargo. [read post]
15 Nov 2019, 2:35 am
Wells Fargo Clearing Services LLC, Respondent (FINRA Arbitration Decision)SEC Seeks Order Requiring Colorado Witness to Comply with Subpoena for Testimo... [read post]
4 Aug 2015, 6:48 am
” Wells Fargo is asking for more than $1.7 million in damages.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
3 Nov 2021, 8:07 am
The post Ex-Wells Fargo Broker James Seijas Barred from Securities Industry appeared first on The White Law Group. [read post]
25 Mar 2020, 11:41 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
11 Apr 2019, 9:02 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
