BROKERS: Wells Fargo was ordered by FINRA to pay former Credit Suisse broker compensatory damages in the amount of $987k following deferred compensation dispute. FINRA[...]
Wells Fargo Advisors
Headquartered in San Francisco, California, Wells Fargo & Company is an American international banking and financial services company. They have several “hubquarters” throughout the United States. Wells Fargo is the second largest bank in the world by market capitalization standards. Financial institutions as large as Wells Fargo are subject to instances of fraud and misconduct because of their large workforce and large customer base. The company is no stranger to investment lawsuits based on the fraudulent conduct or reckless miscondunt of their employees. To read information about individual cases of fraud or misconduct, browse the articles below.
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INVESTORS: The Fulton County Superior Court in Atlanta has vacated an arbitration award to Wells Fargo amid findings that Wells Fargo and their outside counsel[...]
Last Updated: November 8, 2021 UPDATE: On November 2, 2021 James Seijas was been barred by FINRA for failure to cooperate with their investigation into[...]
Rigsbee refused to provide information and documents requested in FINRA’s investigation into his misconduct. Tyler Rigsbee (CRD#: 6351278) was registered as a broker with Wells[...]
Making a Complaint Against Wells Fargo Advisors At Sonn Law Group, our top-rated securities fraud lawyers are currently reviewing any and all investor complaints against[...]
The claimant alleges that Olson made unsuitable investment recommendations. Leif David Olson (CRD: 2277495) is registered as a broker and investment adviser with Wells Fargo,[...]
The customer is seeking $20,000 following allegations that the securities purchased were unsuitable. David Michael Logsdon (CRD: 4178266) is registered as a broker and investment[...]
Schaefer has two pending customer disputes alleging unsuitable investment recommendations. Kevin Schaefer (CRD#:1286030) is registered as a broker and investment adviser with Wells Fargo, where[...]
Schaedler was also accused of improperly receiving a $200K gift from an elderly client. James Schaelder Jr. (CRD#: 4264512) was registered as a broker with[...]
Rando was being investigated by FINRA based on her termination from Wells Fargo in October 2020. Valerie Ceballos (CRD#: 6904661) was registered as a broker[...]