Marcelo Javier Poliak of Miami, Florida, a stockbroker registered with Wells Fargo Advisors LLC, is the subject of a customer initiated investment related complaint on July 10, 2017 in which the customer requested $27,427.95 in damages based upon allegations that Poliak made omissions and misstatements of material fact in connection with the recommendation and sale…

Vladislav Michael Romanov of Boston, Massachusetts, a stockbroker formerly registered with Wells Fargo Advisors LLC, is the subject of a customer initiated investment related complaint on February 24, 2022, in which the customer requested $52,000.00 in damages based upon allegations that Romanov placed the customer in underperforming foreign equities when Romanov was associated with Wells…

Kenneth Andrews Welsh of Fairfield, New Jersey, a stockbroker formerly registered with Wells Fargo Advisors LLC, is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought $1,857,001.59 in damages based upon allegations of unsuitable indexed annuity contracts for the customer when Welsh was associated with Wells Fargo Advisors. Financial…

Jonathan Ben Mirer, of Henderson, Nevada, a stockbroker formerly registered with Wells Fargo Advisors, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested more than $75,000.00 in damages based upon accusations of their account being overconcentrated by Mirer in unsuitable investments when Mirer was registered with Wells Fargo…

Thomas Boley Hunt of Twin Falls Idaho a stockbroker currently registered with Wells Fargo Advisors is the subject of a customer initiated investment related written complaint which was resolved for $20,000.00 in damages on July 22, 2020 supported by allegations that Hunt’s transactions at Wells Fargo Advisors were not suitable for the customer. Hunt has…

John William Hoekman of New York New York a stockbroker formerly registered with Wells Fargo Advisors LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought between $100,000.00 and $500,000.00 in compensatory or punitive damages based upon accusations of unsuitable over-the-counter equities being recommended for the customer’s investment…

Jeffrey Clay Templeman of Norfolk Virginia a stockbroker currently registered with Wells Fargo Advisors has been referenced in a customer initiated investment related written complaint on March 15, 2019 where the customer requested unspecified damages founded on allegations that the customer had been steered by Templeman towards investing in mutual funds without being provided clarity…

Wells Fargo Advisors LLC a securities broker dealer headquartered in Saint Louis Missouri has been censured and fined $350,000.00 based upon findings that it failed to supervise two stockbrokers who made unsuitable recommendations to customers regarding energy securities causing customers to experience losses. Letter of Acceptance Waiver and Consent No. 2015045713304 (Aug. 28, 2020). According…

Robert Patton Stansberry (also known as Patt Stansberry) of Columbia Montana a stockbroker and financial advisor formerly registered with Wells Fargo Advisors Financial Network LLC and Cutter Company Inc. has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that…

Wilfred Rodriguez Jr. of Boca Raton Florida a stockbroker formerly associated with Wells Fargo Advisors has been referenced in a customer initiated investment related written complaint on December 14, 2019 in which the customer requested $3,600,000.00 in damages supported by allegations of misappropriation and unauthorized transactions during the period in which Rodriguez was employed by…

Gregory Alan Ricker of Boca Raton Florida a stockbroker formerly associated with Westpark Capital Inc. has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he engaged in private securities transactions without the securities broker dealer’s approval. Letter of…

Kevin Fredrick Williams of San Diego California 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 based upon allegations that he neglected to cooperate with FINRA’s request for his information. Case No. 2019062134601 (May 26, 2020). According to…

Sanjay Mathur (also known as Sanjay Mather) of Newport Beach California a stockbroker currently employed by Wells Fargo Advisors has been identified in a customer initiated investment related complaint on December 9, 2019 where the customer sought unspecified damages founded on accusations including that the customer was advised to buy foreign equities prior to there…

Vincent Charles Meleco of Albany New York a stockbroker registered with Wells Fargo Advisors LLC is the subject of a customer initiated investment related complaint on September 24, 2019 in which the customer requested $123,000.00 in damages based upon allegations that omissions were made to the customer by the stockbroker and that the customer had…

Charles Henry Frieda, Jr. of Irvine California a stockbroker formerly registered with Wells Fargo Advisors LLC is the subject of a customer initiated investment related complaint which was resolved on February 28, 2019 for $20,000.00 in damages based upon accusations of unsuitable energy securities recommended by the stockbroker between 2014 and 2018 while associated with…

Michael Fisher of Melville New York a stockbroker formerly registered with Wells Fargo Advisors LLC is the subject of a customer initiated investment related arbitration claim in which the customer was awarded $50,000.00 in compensatory damages based upon Wells Fargo Advisors being found liable on the customer’s claims which included that (1) the customer’s account…

Douglas L. Goss of Tulsa Oklahoma a stockbroker formerly employed by Wells Fargo Advisors is referenced in a customer initiated investment related written complaint on July 10, 2019 where the customer requested damages estimated to exceed $5,000.00 supported by allegations that between June 14, 2013 and July 10, 2019, trades were effected in the customer’s…

Michael Jay Sharenow of Florham Park New Jersey a stockbroker formerly registered with Wells Fargo Advisors LLC is referenced in a customer initiated investment related arbitration claim which was settled for $150,000.00 in damages founded on allegations that Sharenow placed the customer in bad municipal debt investments including municipal bonds. Financial Industry Regulatory Authority (FINRA)…

Matthew Christopher Maczko of Oak Brook Illinois a stockbroker formerly employed by Wells Fargo Advisors LLC is referenced in a customer initiated investment related arbitration claim in which the customer requested damages estimated to exceed $500,000.00 in damages founded on accusations that Maczko gave the customer bad investment recommendations concerning the securities held in the…

Robert Thomas Tuffy of East Brunswick New Jersey a stockbroker formerly registered with Wells Fargo Advisors is the subject of a customer initiated investment related arbitration claim which was resolved for $27,500.00 in damages based upon allegations that (1) Tuffy effected unauthorized trades in the customer’s brokerage account (2) Tuffy disregarded the customer’s objectives for…

John William Hoekman of New York New York a stockbroker formerly employed by Wells Fargo Advisors LLC is referenced in a customer initiated investment related arbitration claim which was settled for $390,000.00 in damages founded on accusations that (1) omissions had been made to the customer during a time that the customer was steered by…

Hossein Amirriahei (also known as Amir Amirriahei and as Riahei Amirriahei) of Los Angeles California a stockbroker formerly employed by Wells Fargo Advisors is the subject of a customer initiated investment related written complaint on May 30, 2017 in which the customer requested $150,000.00 in damages based upon allegations that trades had been executed in…

Apostolos Nicholas Papadea of Columbia South Carolina a stockbroker formerly registered with Wells Fargo Advisors LLC is the subject of a customer initiated investment related written complaint which was settled for $24,000.00 on January 17, 2017 based upon allegations of (1) omissions and misrepresentations being made to the customer concerning the risks of mutual funds…

Ghalib Abdulla Kanji of Woodland Hills California a stockbroker formerly employed by Wells Fargo Advisors LLC is the subject of a customer initiated investment related arbitration claim which was resolved for $2,000,000.00 in damages founded on allegations that (1) investment recommendations made to the customer were not suitable and (2) misrepresentations had been made to…

Barbara Ann Endres of Grand Junction Colorado a stockbroker formerly registered with Wells Fargo Advisors LLC and investment adviser representative of Lifetime Wealth Advisors LLC has been barred by Securities and Exchange Commission (SEC) in all capacities according to an Order Instituting Administrative Proceedings Pursuant to Investment Advisers Act of 1940 Section 203(f) containing findings…

Herbert Charles Buchbinder of Mission Woods Kansas a stockbroker formerly employed by Wells Fargo Advisors LLC is referenced in a customer initiated investment related written complaint which was resolved on October 25, 2016 for $24,999.00 in damages founded on accusations that the customer sustained losses from the equity investments the customer purchased as a result…

Eric Alan Zakarin of Cranford New Jersey a stockbroker formerly registered with Lombard Securities Incorporated has been terminated by the firm on October 10, 2018 based upon allegations that (1) Zakarin generated excessive commissions from customers and (2) Zakarin executed trades in customer accounts that customers’ possibly had not authorized. This is not the first…

Alfredo Caba of New York New York a stockbroker formerly employed by Wells Fargo Advisors LLC has been fined $2,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Caba lied to Wells Fargo about being terminated for cause from J.P. Morgan Securities,…

Harold Weber of Airmont New York a stockbroker formerly employed by Wells Fargo Advisors LLC is referenced in a customer initiated investment related arbitration claim which was settled for $50,000.00 in damages based upon allegations that between December of 2012 and June of 2016: (1) transactions were executed in the customer’s account that were not…

Aaron Robert Parthemer of Fort Lauderdale, Florida has been fined $160,000.00 and barred from being a broker or investment adviser or otherwise associating with any brokers or investment advisories according to an Order Making Findings and Imposing Sanctions Pursuant To Securities Exchange Act of 1934 Section 15(b), Investment Advisers Act of 1940 Section 203(f) and…

Roberto Omar Bastardo of Jupiter Florida a stockbroker formerly employed by Wells Fargo Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that Bastardo failed to respond to a FINRA inquiry which may have concerned Bastardo’s discharge from Wells Fargo Advisors LLC. FINRA…

Eric Grant Demarcus of Sunnyvale California a stockbroker formerly registered with Wells Fargo Advisors LLC is the subject of a customer initiated investment related written complaint on July 17, 2015 where the customer sought damages estimated to exceed $5,000.00 based upon allegations that unit investment trust transactions executed in the customer’s account were not suitable…

Randyl Robert Taber of West Des Moines Iowa a stockbroker formerly employed by Ameriprise Financial Services Inc. has been discharged by the firm on May 10, 2017 based upon accusations that Taber committed numerous violations of Ameriprise Financial Services’ policy by implementing an “investment strategy” that was not suitable for customers of the firm. FINRA…

Robert Frank Pondt of Woodland Hills California a stockbroker formerly employed by Wells Fargo Advisors LLC is the subject of a customer initiated investment related written complaint which settled for $22,000.00 on July 5, 2017 supported by accusations that the customer was provided misleading information about unit investment trust products by being told that the…

Raymond Phillip Kvalvog of Fargo North Dakota a former Wells Fargo Advisors LLC branch manager has been ordered by an Arbitration Panel to pay a customer $75,383.75 in compensatory damages based on the Panel finding Kvalvog and Wells Fargo liable for committing fraud by steering the customer into placing more than $2,000,000.00 of the customer’s…

Thomas A. Davis of Hilton Head Island South Carolina a stockbroker formerly employed by Wells Fargo Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision containing findings that Davis converted funds from customers and failed to cooperate with FINRA’s investigation into…

Michael Walter Ollmann of Waukesha Wisconsin a stockbroker formerly employed by Wells Fargo Advisors LLC is the subject of a customer initiated investment related arbitration claim where the customer sought $125,000.00 in damages founded on accusations that Ollmann excessively traded municipal debt products in the customer’s account and caused the customer to suffer unwarranted investment…

Paul William Morse of New York New York a stockbroker formerly registered with Wells Fargo Advisors LLC is the subject of a customer initiated investment related written complaint on July 18, 2017 where the customer sought damages estimated to exceed $5,000.00 supported by allegations that misrepresentations or false statements had been made to the customer…

Thomas Von Reckers of Lakewood Colorado a stockbroker formerly employed by Wells Fargo Advisors Financial Network LLC is referenced in a customer initiated investment related civil action in which the customer sought more than $5,000.00 in damages supported by allegations that Reckers misrepresented the terms and conditions of loan products in addition to the investments…

Edward Oda Daniel of Fort Worth Texas a stockbroker formerly employed by Wells Fargo Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into accusations of his potential unsuitable investment recommendations to customers of Wells…

Mathew D. Webster of Syracuse New York a stockbroker formerly employed by Wells Fargo Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to honor FINRA’s request for his information. Case No. 2016051007901 (Sept. 11, 2017). FINRA Public Disclosure confirms…

J. Gordon Cloutier Jr. of Frisco Texas a stockbroker formerly employed by Wells Fargo Advisors LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA’s investigation into Cloutier’s possible unauthorized trading. Department of Enforcement v. J….

Darnell Kenneth Mote of Jacksonville Florida a stockbroker formerly registered with Wells Fargo Advisors LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in an undisclosed outside business activity while employed by Wells Fargo. Letter of…

Earle Clement Tingley of Winter Haven Florida a stockbroker formerly employed by Wells Fargo Advisors Financial Network LLC has been discharged by the firm on April 27, 2018 supported by allegations that Tingley acknowledged to have entered into a customer loan arrangement in violation of the firm’s policies. Financial Industry Regulatory Authority (FINRA) Public Disclosure…

Timothy Patrick Lofton of Washington Township Ohio a stockbroker formerly registered with Wells Fargo Advisors Financial Network LLC and advisor employed by Horter Investment Management has been discharged from Horter on April 26, 2018 based upon accusations that Lofton failed to abide by the company’s procedures and policies relating to outside business activities. Financial Industry…

Patrick Fernando Infante of Beverly Hills California a stockbroker employed by Wells Fargo Clearing Services, LLC has been discharged by the firm on July 18, 2017 founded on allegations that he established customers’ accounts without their permission. Does any of this sound familiar. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on August 14,…

David Michael Logsdon of Hailey Idaho a stockbroker formerly registered with Wells Fargo Advisors is referenced in a customer initiated investment related complaint on March 22, 2018 where the customer sought more than $5,000.00 in estimated damages based upon accusations that Logsdon failed to liquidate the customer’s stock holdings from the customer’s wrap account. Financial…

Darnell Kenneth Mote of Jacksonville Florida a stockbroker formerly employed by Wells Fargo Advisors LLC is the subject of a Financial Industry Regulatory Authority (FINRA) Investigation in which FINRA has recommended that an enforcement action be pursued against Mote based upon allegations that he violated FINRA Rules 2010 and 3270 by engaging in unapproved outside…

Joseph Gordon Cloutier of Frisco Texas a stockbroker formerly registered with Wells Fargo Advisors has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Cloutier failed to cooperate with a FINRA investigation into allegations of him executing transactions in customer accounts without permission and soliciting a loan from a customer. Department…

Joseph Gordon Cloutier Jr of Frisco Texas a stockbroker formerly registered with Wells Fargo Advisors LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he neglected to provide information to FINRA personnel about his business activities. Case No. 2016051652701 (Mar. 6, 2017). FINRA…

Dallas York of Scottsdale Arizona 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 according to an Office of Hearing Officers Order Accepting Offer of Settlement containing findings that York failed to provide documents and information to FINRA…

William Stoddard Valentine of Philadelphia Pennsylvania a stockbroker formerly registered with Wells Fargo Advisors LLC was the subject of a customer initiated investment related complaint which settled on December 19, 2016 for $5,000.00 in damages supported by accusations that (1) the customer’s assets were not diversified (2) the customer’s assets were over-concentrated in master limited partnerships…

Michael Fisher of Melville New York is a stockbroker formerly registered with Wells Fargo Advisors LLC who is the subject of a customer initiated investment related arbitration claim where the customer requested $324,165.01 in damages based upon allegations that Fisher effected unit investment trust transactions in the customer’s account that were not suitable for the…

James Paul Laughlin is a stockbroker currently registered with Wells Fargo Clearing Services LLC who is the subject of a customer initiated investment related arbitration claim which settled for $6,500.00 in damages supported by accusations that the customer was assessed excessive fees for the management of the customer’s management account between December 2, 2014 and…

Stephen Allen Kelbick of Villanova Pennsylvania is a stockbroker formerly registered with Wells Fargo Clearing Services LLC who has been fired on August 16, 2017, based upon allegations that Kelbick effected trades in customers’ investment accounts without ever having spoken to them before the transactions were entered. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms…

Duane J. Haley of Indianapolis Indiana is a stockbroker formerly registered with Wells Fargo Advisors, LLC who is the subject of a customer initiated investment related written complaint which settled for $5,000.00 in damages founded on allegations that mutual fund transactions were executed in the customer’s account on an unauthorized and unsuitable basis. Haley’s registration…

Thomas George Sandkamp of Ontario California is a stockbroker formerly registered with Wells Fargo Advisors LLC who was fired on May 12, 2016 supported by allegations that he altered customer account documentation after the document had already been executed by the customer. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Sandkamp has been referenced…