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FINRA Bars Wells Fargo Broker For Conversion

March 22, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments

David Jeremy Welty of Norristown Pennsylvania is a former Wells Fargo Clearing Services LLC stockbroker who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted customer funds. Letter of Acceptance Waiver and Consent No. 2016052638401 (Jan. 19, 2017). According to […]

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FINRA Bars Wells Fargo Broker For Conversion

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