Earle Clement Tingley of Winter Haven Florida a stockbroker formerly employed by Wells Fargo Advisors Financial Network LLC has been discharged by the firm on April 27, 2018 supported by allegations that Tingley acknowledged to have entered into a customer loan arrangement in violation of the firm’s policies.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Tingley has been identified in two additional customer initiated investment related disputes containing accusations of Tingley’s violative conduct during the period that he was registered with Wells Fargo Advisors LLC and A.G. Edwards & Sons, Inc. Specifically, on August 15, 2008, a customer initiated investment related complaint concerning Tingley’s conduct was settled for $200,000.00 in damages founded on allegations that auction rate securities had been misrepresented.
On January 13, 2016, another customer filed an investment related complaint regarding Tingley’s conduct where the customer sought damages estimated to exceed $5,000.00 based upon accusations that unauthorized trades had been placed in the customer’s account, and the customer was precluded from obtaining information about investments held in the customer’s self-directed fee based account.
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