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 business activities between February of 2015 and November of 2015. FINRA Investigation (Mar. 20, 2018).
Mote’s registration with Wells Fargo Advisors was terminated on November 4, 2015 during the time that he had been investigated by the firm for potentially disseminating unauthorized customer account information and causing a customer to incur undue losses while Mote was working for Wells Fargo Bank.
Mote has been registered with NYLife Securities LLC since January 13, 2016.
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