Tag Archives: Dallas York

FINRA Bars Wells Fargo Stockbroker For Obstruction

Dallas York of Scottsdale Arizona a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Office of Hearing Officers Order Accepting Offer of Settlement containing findings that York failed to provide documents and information to FINRA […]

Read More »

FINRA Charges Wells Fargo Broker With Obstruction

Dallas York of Scottsdale Arizona is a stockbroker formerly registered with Wells Fargo Clearing Services LLC who has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that York failed to cooperate in a FINRA investigation into allegations of York’s “unauthorized withdrawals” from a customer’s account. Department of Enforcement […]

Read More »