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Wells Fargo Advisors Broker In Unautorized Trading Probe

September 16, 2015 | Posted by : Guiliano Law Group | Failure To Supervise, FINRA Securities Arbitration, Investment and Regulatory News, Unauthorized Trading | Comments Off

Nicholas Harper, a registered representative with Wells Fargo Advisors, LLC, was permanently barred from the securities industry for life after consenting to findings that he failed to cooperate with an investigation into discretionary trading activities. Letter of Acceptance, Waiver, and Consent No. 2013038203401 (May 13, 2015). According to the AWC, Harper was employed with Wells […]

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Wells Fargo Advisors Broker In Unautorized Trading Probe

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