Tag Archives: Marvin Egorin

FINRA Bars Wells Fargo Stockbroker In Investigation

June 22, 2020  |   Posted by :   |   Unauthorized Trading   |   Comments Off on FINRA Bars Wells Fargo Stockbroker In Investigation

Marvin Egorin of Beverly Hills California 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 founded on accusations that he failed to provide FINRA with information that was requested of him in connection with a misconduct inquiry. Case […]

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Wells Fargo Broker Fired For Trading Dead Person’s Account

March 15, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Marvin Egorin of Los Angeles California a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been terminated by the firm on January 18, 2018 during the time that Egorin was subject of an internal investigation into allegation that Egorin deliberately permitted liquidations and trades to be placed in a customer’s account after the […]

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