Wells Fargo

  • Robert Rex, Esq.

Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies
Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies 150 150 Robert Rex, Esq.

JUNE 2017 Wells Fargo Securities   entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to…

read more
  • Robert Rex, Esq.

Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM
Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM 150 150 Robert Rex, Esq.

May 2017-Las Cruces, NM The FINRA records of  Jeffrey R. Wilson  ,  a  stockbroker who is currently  registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…

read more
  • Robert Rex, Esq.

Richard T. Lucker-Former Morgan Stanley Broker-Discloses $14M Customer Dispute-El Paso, TX
Richard T. Lucker-Former Morgan Stanley Broker-Discloses $14M Customer Dispute-El Paso, TX 150 150 Robert Rex, Esq.

April 2017-El Paso, Texas The FINRA records of  Richard T. Lucker ,  a  stockbroker who is currently  employed by  Wells Fargo Clearing Services  disclose a pending dispute in which a customer seeks damages in excess of…

read more
  • Robert Rex, Esq.

German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX
German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX 150 150 Robert Rex, Esq.

April 2017- San Antonio, Texas The FINRA records of  German Ricardo Mora ,  a  former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records
Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records 150 150 Robert Rex, Esq.

December 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…

read more
  • Robert Rex, Esq.

Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX
Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX 150 150 Robert Rex, Esq.

December 2016- Longview, Texas The Texas State Securities Board (TSSB) sanctioned  Bruce Russell Clark (CRD# 2848753) of Longview, Texas,  reprimanding him and assessing an administrative fine of $5,000. According to the TSSB…

read more
  • Robert Rex, Esq.

Wells Fargo Fined $1M Over Consolidated Reports Provided to Customers
Wells Fargo Fined $1M Over Consolidated Reports Provided to Customers 150 150 Robert Rex, Esq.

December 2016 Wells Fargo was censured and fined $1,000,000 by the Financial Industry Regulatory Authority over its lack of supervision related to the preparation and dissemination of consolidated reports showing…

read more
  • Robert Rex, Esq.

Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX
Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX 150 150 Robert Rex, Esq.

Denton, Texas UPDATE JULY 2017–FINRA records disclose that arbitration 15-3427, discussed below, was settled 2/2017 for $117,477.  August  2016-ORIGINAL POST   The FINRA records of Robert Kyle Ratcliff ,  a  stock broker who is currently employed…

read more
Enter your
text here
Verified by MonsterInsights