Solomon Wei-En Hua (also known as Wei-En Hua) of West Covina California a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been terminated by the firm on May 22, 2018 during the time that Hua was subject of an internal investigation into Hua possibly (1) trading in customer accounts without authorization (2) inappropriately handling the establishment of customer’s investment accounts and (3) corresponding with customers in a manner which violated the firm’s procedures or policies.

Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on December 27, 2018, a customer initiated investment related complaint concerning Hua’s activities was settled for $16,204.88 in damages founded on accusations that between September 13, 2017 and November 17, 2017, during the time Hua was associated with Wells Fargo Advisors, Hua failed to disclose that: fluctuations and market volatility were present in the customer’s investment allocation; the customer’s investment was exposed to the risk of principal loss; and that the equities purchased by the customer contained interest rate and credit risks.

Since May 22, 2018, Hua has been associated with Woodbury Financial Services Inc. in Diamond Bar California.

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