According to FINRA records, Charles L. Evans , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment and one final regulatory event.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Evans discloses that in 7/2014 he was discharged from Wells Fargo Advisors for failure to follow broker protocol and submission of inaccurate ACATs. He was employed by Wells Fargo 5/2014-8/2014. Prior to that he was employed by RBC Capital Markets.
In April 2016, Evans received a 10 day suspension and was assessed a $5,000 fine from FINRA to resolve allegations that he improperly took confidential, nonpublic customer information, prior to his resignation from his member firm, after agreeing he would not remove any other client-related information, records or documents, including account numbers from his firm.
The findings stated that Evans created a New Account Checklist form to record financial and suitability information about his clients, including account numbers, social security numbers, date of birth and other information commonly included on new account documents.
If you have questions about an account handled by Charles L. Evans, call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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