Tag Archives: Herbert H. Hafen

SEC Bars Wells Fargo Stockbroker For Fraud

July 29, 2020  |   Posted by :   |   Misappropriation of Funds, Securities Fraud, Stockbroker Theft   |   Comments Off on SEC Bars Wells Fargo Stockbroker For Fraud

E. Herbert H. Hafen (also known as Elias Herbert Hafen and as Elias Herbert Niggebrugge) of New York New York a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been barred from being a stockbroker or an investment adviser representative according to a Securities and Exchange Commission (SEC) Order based on findings of […]

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SEC Charges Wells Fargo Stockbroker With $1.6 Million Theft

Herbert H. Hafen (also known as Elias Herbert Hafen and as E. Herbert Niggebrugge) of New York New York a stockbroker and investment adviser representative formerly registered with Wells Fargo Clearing Services LLC and Morgan Stanley has been charged by Securities and Exchange Commission (SEC) in a Complaint alleging that Hafen engaged in a fraudulent […]

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FINRA Suspends Wells Fargo Broker For Dodging Inquiry

Herbert H. Hafen of New York New York a stockbroker formerly employed by Wells Fargo Clearing Services LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Hafen failed to provide a response to FINRA after an inquiry was made into his activities possibly […]

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