Kevin Foster Friedman, of Woodland Hills, California, a stockbroker formerly registered with Wells Fargo Clearing Services, is the subject of a customer initiated investment related arbitration claim, which settled for $1,100,000.00 in damages on May 2, 2017, based upon allegations of the failure to supervise a financial advisor who effected faulty closed-end fund transactions in the customer’s account between March 1, 2011, and January 31, 2016.
Friedman’s registration with Wells Fargo Clearing Services was terminated on April 20, 2017. He has been registered with Oppenheimer & Co. Inc. since April 19, 2017.
Guiliano Law Group
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