Tag Archives: Michael J. Mularski

Wells Fargo Stockbroker Suspended for Unauthorized Trading

February 12, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Michael J. Mularski of Mequon, Wisconsin, a stockbroker with Wells Fargo Advisors, LLC, was fined $12,500 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member firm in all capacities after consenting to findings that he engaged in discretionary trading and unauthorized trading. Letter of Acceptance, Waiver and Consent, No. […]

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