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Attachment

2008015651901_fda_kmx1989-2019-1562687355963

Wells Fargo censured and fined $2 Million for the failure to supervise Unsuitable Reverse Convertible Securities Transactions

Common Claims

  • Boiler-Room High Pressure Sales
  • Breach of Fiduciary Duty
  • Churning Or Excessive Activity
  • Conflicts Of Interest
  • Cybertheft
  • Elder Financial Abuse
  • Excessive Trading
  • Failure to Conduct Due Diligence
  • Failure to Disclose Risk
  • Failure to Diversify
  • Failure to Execute
  • Failure to Supervise
  • Failure to Warn
  • False Statements and Omissions
  • Financial Suicide
  • Forgery – Document Alteration
  • Margin Account Fraud
  • Misappropriation of Customer Funds
  • Negligent Retirement Planning
  • Over-Concentration
  • Regulation Best Interest
  • Retirement Planning Fraud
  • Selling Away
  • Stockbroker Misconduct
  • Stockbroker Negligence
  • Stockbroker Theft
  • Unauthorized Trading
  • Unsuitable Investment Recommendations
  • Wrongful Third Party Investment Referrals

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