John Mark Ross of Missoula Montana a stockbroker formerly registered with US Bancorp Investments Inc. is the subject of a customer initiated investment related written complaint which was resolved for $127,210.30 in damages on January 9, 2019 founded on allegations of unauthorized trading by Ross while he was associated with Wells Fargo Advisors. According to the complaint, Ross received instructions from someone who was not authorized on the customer’s account who initiated a mutual fund purchase.
FINRA Public Disclosure additionally shows that Ross has been discharged by former securities broker dealer employer Morgan Stanley incorporated based upon allegations of Morgan Stanley receiving a complaint from a customer about Ross selling away.
Ross was registered with US Bancorp Investments as a stockbroker and investment adviser representative between March 18, 2016 and May 2, 2018. He has been associated with Wells Fargo Clearing Services LLC as a stockbroker since April 30, 2018 and as an investment adviser representative since May 1, 2018.
