SEC Sanctioned Registered Broker and FA Sanford M. Katz with a Cease-and-Desist Order
March 2, 2024
- Categories:
- Wells Fargo Advisors
Sanford M. Katz (CRD#: 1558898) is a registered broker and investment advisor at Wells Fargo Clearing Services, LLC. Broker’s Background He entered the securities industry in 1986 and previously worked with Goldman, Sachs & Co.; UBS Financial Services, Inc.; and Credit Suisse Securities (USA) LLC. Allegations of Misconduct According to publicly available records released by […]