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[…]
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.
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[…]
Seijas allegedly played a vital role in a Ponzi scheme with Q3 Trading Club The Sonn Law Group is investigating allegations that James Seijas participated[…]
Hafen allegedly defrauded clients out of more than $1.6 million. The Sonn Law Group is investigating allegations that Elias Hafen committed fraud. If you or[…]
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[…]
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[…]