Sonn Law Group is investigating claims regarding Nicholas Hansen Harper (CRD #2767911, Topeka, Kansas). Harper recently submitted an Acceptance, Waiver & Consent (“AWC”) in which he was barred from association with any FINRA member in any capacity. See FINRA Case #2013038203401. Harper was associated with Wells Fargo Advisors, LLC, from October 1997 until September 2013. Harper resigned from Wells Fargo on August 7, 2013, while the Firm’s compliance department was conducting a review of trading in certain of his customers’ accounts. Harper consented to FINRA’s sanction and to the entry of findings that he refused to appear for FINRA-requested on-the-record testimony involving its investigation into his trading in customer accounts.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Wells Fargo may be liable for investment or other losses suffered by Harper’s customers during the time Harper was registered with the firm.
If you were a client of Wells Fargo or Harper, and have suffered investment losses or financial irregularities, please contact Sonn Law Group to explore your legal options. Sonn Law Group is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies. To learn more, please call us at 844-689-5754 or complete our “contact form.”