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Wells Fargo Stockbroker Barred In Investigation

May 25, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments

Scott Sherwin Polish, of Mentor, Ohio, a stockbroker formerly registered with Wells Fargo Clearing Services, LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he obstructed a FINRA investigation into allegations that Polish converted customer funds. Letter of Acceptance, Waiver and Consent, […]

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Wells Fargo Stockbroker Barred In Investigation

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