Tag Archives: Prudential Securities Incorporated

FINRA Bars Prudential Stockbroker With Secret Marijuana Business

September 14, 2020  |   Posted by :   |   Selling Away and Outside Activities   |   Comments Off on FINRA Bars Prudential Stockbroker With Secret Marijuana Business

Rani Soto of Newark New Jersey a stockbroker formerly registered with Prudential Investment Management Services has been charged by Financial industry Regulatory Authority Department of Enforcement with engaging in outside business activities that were not disclosed to the securities broker dealer and for failing to timely cooperate with FINRA during the course of its investigation […]

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WFG Investments Sued byCustomer For Unsuitability

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

Matthew Aaron Bell, of San Antonio, Texas, a stockbroker formerly registered with WFG Investments, Inc., has been named in a customer initiated investment related written complaint, which settled on February 10, 2017, for $43,000.00 in damages based upon allegations that Bell made unsuitable investment recommendations to the customer regarding over-the-counter equity products. Financial Industry Regulatory […]

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