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[…]
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.
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[…]
Weith is accused of recommending an unsuitable financial plan to a customer. The Sonn Law Group is investigating allegations that Herbert Weith IV recommended unsuitable[…]
Kafkes was previously named in a customer dispute alleging unsuitable recommendations and agreed to a settlement. The Sonn Law Group is investigating allegations that Angelo[…]
The clients allege that Esses fraudulently transferred over $2M from his client’s accounts. The Sonn Law Group is investigating allegations that Tony Esses committed fraud.[…]
The class action was filed by a former financial advisor alleging Wells Fargo cheated him out of deferred compensation. The Sonn Law Group is investigating[…]
FINRA initiated an investigation into Ianace based on allegations of failing to disclose outside business activities. The Sonn Law Group is investigating allegations that Peter[…]
Pimental was also accused of unauthorized trading and churning. The Sonn Law Group is investigating allegations that Daniel Pimental committed misconduct. If you or a[…]
Kinsman’s testimony was requested by FINRA in connection with its investigation into the events leading to Kinsman’s termination from Wells Fargo. The Sonn Law Group[…]
FINRA requested information and documents from Benson in connection with an investigation into a customer complaint. The Sonn Law Group is investigating allegations that Bryan[…]