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Wells Fargo Advisors Stockbroker Fined For Unauthorized Trading

August 17, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Unauthorized Trading | 0 Comments

Robert Tuffy, of East Brunswick, New Jersey, a stockbroker with Wells Fargo Advisors, LLC, was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in the unauthorized trading in a customer account. Letter of Acceptance, Waiver and Consent, No. […]

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Wells Fargo Advisors Stockbroker Fined For Unauthorized Trading

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