Tag Archives: PNC

Former Wells Fargo Broker Fined for Altering IPO Forms Without Authorization

February 13, 2012  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

A former stockbroker for Wells Fargo Advisors LLC has been fined $5,000 and suspended from the financial industry for six months for changing dates and account numbers on forms without customers’ permission. In June 2010, Judith Martin altered the dates and account numbers on 25 Initial Public Offering (IPO) Certification Forms that the Wells Fargo […]

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