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Wells Fargo Stockbroker Sanctioned For Unauthorized Trading

January 19, 2021 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unauthorized Trading | Comments Off

Paul Lawrence Fowler Jr. of Washington DC a stockbroker formerly registered with Wells Fargo Clearing Services has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Fowler executed unauthorized trades in a customer’s account when he was associated with […]

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Wells Fargo Stockbroker Sanctioned For Unauthorized Trading

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