Leah Rebecca Bullen, of Walnut Creek, California, a stockbroker registered with Wells Fargo Advisors, LLC, was terminated from employment on January 7, 2016, based upon allegations that she effected a loan arrangement with an investor outside the auspices of her firm, and did not make disclosures to the firm about her involvement in a legal matter as well as her real estate rental business.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Bullen has been identified in two customer initiated investment related disputes containing allegations of her misconduct while employed with Citigroup Global Markets, wherein customers’ claims were settled for $21,740.36 in damages based upon allegations against Bullen of the failure to follow the customer’s instructions relating to a certificate of deposit purchase, and misrepresentation regarding a customer’s variable annuity transaction.
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