Tag Archives: Nelson Michael Polun

Wells Fargo Stockbroker Barred For Failure To Pay Arbitration Award

January 03, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on Wells Fargo Stockbroker Barred For Failure To Pay Arbitration Award

Nelson Michael Polun of Bel Air Maryland a stockbroker formerly registered with Wells Fargo Clearing Services LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that Polun neglected to comply with FINRA’s request for information about his activities. Case No. 2019061783501 (Nov. 11, 2020). […]

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Wells Fargo Advisors Sued by Customers For Misrepresentation

March 30, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Nelson Michael Polun, of Bel Air, Maryland, a stockbroker currently registered with Wells Fargo Clearing Services, LLC, has been named in a customer initiated investment related written complaint, which settled for $4,546.96 in damages on March 13, 2017, based upon allegations that Polun made misrepresentations to the customer concerning preferred stock investments, and omitted that […]

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