Linda Sue Zara of Boca Raton Florida a stockbroker formerly employed by Wells Fargo Clearing Services LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Zara borrowed a customer’s funds in violation of the firm’s policies. Letter […]
Read More »
Tag Archives: Linda Sue Zara
Wells Fargo Stockbroker Sanctioned For Customer Loans
July 22, 2019 | Posted by : Guiliano Law Group | Customer Loans, Investment and Regulatory News, Promissory Notes, Unsuitable Investment Recommendations | 0 Comments
Wells Fargo Broker Fired For Unapproved Customer Loan
February 19, 2018 | Posted by : Guiliano Law Group | Customer Loans, Investment and Regulatory News | 0 Comments
Linda Sue Zara of Boca Raton Florida is a stockbroker associated with Wells Fargo Clearing Services who has been fired in December 2017 based upon accusations that she executed an unapproved customer loan arrangement in violation of Wells Fargo’s policies. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that a customer initiated investment related arbitration […]
Read More »