Tag Archives: Wells Fargo Clearing Services

Investors Sue Wells Fargo For Bad ETF Sales

Jamie Roger Meehan of Fort Lauderdale Florida a stockbroker currently employed by Wells Fargo Clearing Services LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $120,000.00 in damages founded on accusations of unsuitable exchange-traded fund recommendations having been made to the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. […]

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Wells Fargo Accused Of Using Prohibited Investments

August 01, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Nance Anne Branton of Ridgeland Mississippi a stockbroker currently employed by Wells Fargo Clearing Services is referenced in a customer initiated investment related written complaint on April 10, 2018 where the customer requested damages estimated to exceed $5,000.00 in damages based upon allegations that impermissible foreign-debt positions were held in the customer’s investment portfolio which […]

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Wells Fargo Broker Fired For Selling Away

Frank Charles Wroblewski of Southampton New York a stockbroker formerly employed by Wells Fargo Clearing Services LLC has been discharged on January 22, 2018 founded on allegations that he took part in a private securities transaction; conduct violative of the firm’s policies. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Wroblewski has been identified […]

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Wells Fargo Discharges Stockbroker For Micsonduct

Daniel Lawrence Polansky of Albany New York a stockbroker employed by Wells Fargo Clearing Services has been discharged by the firm on February 27, 2018 based upon allegations that Polansky executed approximately the same investment strategy for customers with various financial circumstances while effecting transactions in customers’ accounts that reflected the same investments that Polansky […]

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Customer Sues Wells Fargo For Suitability

David Kyle Ridenour of Edmond Oklahoma a stockbroker currently registered with Wells Fargo Clearing Services LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested $250,000.00 in damages supported by accusations that Ridenour effected speculative bond and stock transactions in the customer’s account between 2015 and 2016 that […]

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Wells Fargo Stockbroker Fired For Cause

Paul Mark Zoch of Fort Lauderdale Florida is a stockbroker formerly registered with Wells Fargo Advisors who was fired on August 29 2017 based upon allegations that Zoch engaged in improper activities affecting a customer account relationship which ultimately caused the firm to no longer maintain confidence in Zoch’s abilities to comply with the firm’s […]

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Wells Fargo Fires Broker For Misappropriation

Jeffrey Howard Palish of Paramus New Jersey is a stockbroker formerly associated with Wells Fargo Clearing Services who was fired on October 5 2017 based upon the firm’s allegations that he had inappropriately obtained funds belonging to one of Wells Fargo’s customers. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that a customer filed an […]

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FINRA Bars Wells Fargo Stockbroker For Conversion

Jeffrey Howard Palish of Paramus New Jersey is a stockbroker formerly registered with Wells Fargo Clearing Services who has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted funds from a customer of the firm. Letter of Acceptance Waiver and […]

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