David Sheldon Wells of Chicago, Illinois, a stockbroker registered with Fifth Third Securities Inc., is the subject of an enforcement action initiated by Securities and Exchange Commission (SEC) in which the regulator is seeking sanctions against Wells based upon allegations that Wells misappropriated funds. SEC v. David Sheldon Wells, No. 1:22-cv-05113 (September 20, 2022). According…
David Sheldon Wells of Chicago Illinois a stockbroker formerly registered with Fifth Third Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to provide documents to FINRA and failed to testify when he was investigated for misconduct while registered with…