Tag Archives: Hector Hugo Gutierrez

Wells Fargo Stockbroker Charged With Obstruction

October 03, 2017  |   Posted by :   |   Unauthorized Trading   |   0 Comments

Hector Hugo Gutierrez, Jr., of Brownsville, Texas, a stockbroker formerly registered with Wells Fargo Advisors, LLC, was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he failed to make an appearance and testify before FINRA staff in reference to accusations that he effected unauthorized transactions in customer accounts. Department of Enforcement […]

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