Tag Archives: Michael David Garris

Wells Fargo Stockbroker Sanctioned For Trading Dead Customer’s Account

August 02, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Michael David Garris of Los Angeles California a stockbroker formerly employed by Wells Fargo Clearing Services LLC has been fined $5,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Garris effected trades in the account of a Wells Fargo customer who […]

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