David Manor (CRD#: 6033220) is a previously registered broker and investment advisor. From August of 2016 to February of 2018, Mr. Manor served as a[…]
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.
Nancy Kimball Mellon (CRD#: 1253484) is a formerly registered broker and investment advisor. Mellon worked with Wells Fargo Advisors from 2012-2017. She was fired by[…]
As of November 15, 2018, broker Terrence Puricelli was barred by Financial Industry Regulatory Authority (FINRA), as reported on his Brokercheck profile. This sanction was[…]
John Schmidt (CRD#: 708094) is a former broker and investment advisor. From 2006 to 2017, Mr. Schmidt was employed at Wells Fargo Advisors Financial Network[…]
Richard S. Hughes (CRD#: 1537720) was registered as a broker for more than 30 years. Most recently, Mr. Hughes worked at Summit Brokerage Services in[…]
Edward O. Daniel (CRD#: 808225) was a registered broker and investment advisor from 1975 to 2016. Most recently, Mr. Daniel was employed with Wells Fargo[…]
John Schmidt (CRD#: 708094) is a previously registered broker and investment advisor. From 2006 to 2017, Mr. Schmidt was employed at Wells Fargo Advisors Financial[…]
On July 19th, a FINRA arbitration panel in Portland, Oregon awarded Sammy Kaye Duncan and his partner Sylvia Duncan $8.7 million in compensation (Case Number:[…]
John Anthony Vedovino (CRD#: 6113995) is a former FINRA broker and registered investment advisor. From May of 2014 to December of 2015, Mr. Vedovino was[…]
Dallas York (CRD#: 6449560) is a previously registered securities broker and investment advisor. From 2015 to 2017, Mr. York was employed as a representative at[…]