Tag Archives: Regan Allen Rohl

Wells Fargo Stockbroker Discharged For Unauthorized Trading

April 23, 2020  |   Posted by :   |   Securities Arbitration Claims, Unauthorized Trading, Unsuitable Investment Recommendations   |   Comments Off on Wells Fargo Stockbroker Discharged For Unauthorized Trading

Regan Allen Rohl of Fargo North Dakota a stockbroker formerly employed by Wells Fargo Advisors Financial Network LLC has been discharged on March 11, 2020 based upon allegations that he traded in Wells Fargo customer accounts without authorization and did not abide by the expectations that Wells Fargo set forth while he was under heightened […]

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Wells Fargo Sued For Unsuitable Direct Investments

Regan Allen Rohl of Fargo North Dakota a stockbroker currently employed by Wells Fargo Advisors Financial Network LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $35,000.00 in damages based upon allegations that (1) direct participation program interests or limited partnership interests recommendations were not suitable given the customer’s […]

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