Wells Fargo

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Richard Demetriou-Former Titan Securities Broker-Barred From Securities Industry-Addison, TX
Richard Demetriou-Former Titan Securities Broker-Barred From Securities Industry-Addison, TX 150 150 ER

Richard Demetriou Investigation November 2021-Addison, Texas According to publicly available records Richard Wayne Demetriou,  a  former stockbroker who last worked for Titan Securities discloses a regulatory event, three customer disputes and a…

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  • Robert Rex, Esq.

Marcus Parker-Former Wells Fargo Broker-Barred From Securities Industry-Santa Fe, N. Mexico
Marcus Parker-Former Wells Fargo Broker-Barred From Securities Industry-Santa Fe, N. Mexico 150 150 Robert Rex, Esq.

Marcus Parker Investigation October 2021-Santa Fe, New Mexico According to publicly available records Marcus Duane Parker  ,  a  former stockbroker who last worked for Wells Fargo Clearing Services discloses that he has been sued…

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Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX
Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX 150 150 ER

Peter Ianace Investigation-Plano, TX  The FINRA records of  Peter Ianace ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a regulatory event and three customer…

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Gary Wells- Former Wells Fargo Advisors Broker- Discloses Regulatory Events and a Termination From Employment – Tacoma, WA
Gary Wells- Former Wells Fargo Advisors Broker- Discloses Regulatory Events and a Termination From Employment – Tacoma, WA 150 150 ER

August 2021- Tacoma, WA According to publicly available records,  Gary L. Wells,  a currently suspended financial advisor who previously was employed by American Wealth Management, Inc.  and Wells Fargo, discloses a…

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David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX
David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX 150 150 ER

August 2021- Frisco, TX According to publicly recorded records, David Ray Oakes,  a financial advisor employed by Prospera Financial Services,  discloses a regulatory event,  and a termination from employment. The…

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  • Robert Rex, Esq.

Jason Dukas-Former Stifel Nicolaus & Co Broker-Discloses Regulatory Event and a Termination- Clearwater, FL
Jason Dukas-Former Stifel Nicolaus & Co Broker-Discloses Regulatory Event and a Termination- Clearwater, FL 150 150 Robert Rex, Esq.

November 2020- Clearwater, FL According to publicly available records Jason Dukas (CRD#4188239), a  stockbroker with  Stifel, Nicolaus & Company, discloses a regulatory event and a termination from employment. The Financial…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Richard Deyoung formerly with Wells Fargo
Rex Securities Law Investment Fraud Attorney Investigates Richard Deyoung formerly with Wells Fargo 150 150 Robert Rex, Esq.

Last Updated: October 2023 (The Woodlands, Texas) Richard Deyoung Investigation Summary Here’s what you need to know about The Woodlands, TX, stockbroker Richard Deyoung: Name: Mr. Richard Clarence Deyoung, Jr.…

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  • Robert Rex, Esq.

Leonard “Lenny” Kinsman-Former Wells Fargo Broker- Subject of Customer Suits & Regulatory Bar-Staten Island, NY
Leonard “Lenny” Kinsman-Former Wells Fargo Broker- Subject of Customer Suits & Regulatory Bar-Staten Island, NY 150 150 Robert Rex, Esq.

June 2020-Staten Island, NY According to publicly available records of Leonard “Lenny” Kinsman (CRD#2816535) ,  a former broker who was last registered with Wells Fargo Advisors Financial Network, discloses 5 prior…

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  • Robert Rex, Esq.

Joseph Monroe Lawrence, III-Former Wells Fargo Broker-Discloses a Regulatory Event and Termination from Employment-Birmingham, AL
Joseph Monroe Lawrence, III-Former Wells Fargo Broker-Discloses a Regulatory Event and Termination from Employment-Birmingham, AL 150 150 Robert Rex, Esq.

October 2020-Birmingham, AL According to publicly available records of Joseph Monroe Lawrence, III (CRD#5605961) ,  a former stockbroker who last worked for Wells Fargo Clearing Services,  discloses  a regulatory event and…

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