Apostolos Nicholas Papadea of Columbia South Carolina a stockbroker formerly registered with Wells Fargo Advisors LLC is the subject of a customer initiated investment related written complaint which was settled for $24,000.00 on January 17, 2017 based upon allegations of (1) omissions and misrepresentations being made to the customer concerning the risks of mutual funds […]
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Tag Archives: Apostolos Nicholas Papadea
Investors Accuse Wells Fargo Of Stock Fraud
April 19, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Mutual Fund Fraud, Securities Arbitration Claims, Unauthorized Trading, Unsuitable Investment Recommendations | 0 Comments
Wells Fargo Advisors Broker Sanctioned for Unauthorized Trading
May 06, 2016 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading | 0 Comments
Apostolos Nicholas Papadea, of Columbia, South Carolina, a registered representative with Wells Fargo Advisors, was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm after consenting to findings that he engaged in unauthorized discretionary trading in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2015048044301 (Apr. 19, 2016). […]
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