Tag Archives: Kevin Foster Friedman

Wells Fargo Sued For Failure To Supervise

September 14, 2017  |   Posted by :   |   Closed End Funds, Investment and Regulatory News   |   0 Comments

Kevin Foster Friedman, of Woodland Hills, California, a stockbroker formerly registered with Wells Fargo Clearing Services, is the subject of a customer initiated investment related arbitration claim, which settled for $1,100,000.00 in damages on May 2, 2017, based upon allegations of the failure to supervise a financial advisor who effected faulty closed-end fund transactions in […]

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