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Category: Wells Fargo Advisors

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Former Financial Advisor Adam T Marquardt Permanently Barred by FINRA

Adam T. Marquardt (CRD#: 5307192) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2007 and previously worked for Cetera Advisors, LLC; Wells Fargo Advisors Financial Network, LLC; Wells Fargo Advisors, LLC; and A.G. Edwards & Sons, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Financial Advisor Xiangyu Zhang Has Ten Customer Complaints And Regulatory Infractions

Xiangyu Zhang (CRD#: 5050282), also known as Sean Zhang, is a previously dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2005 and previously worked for Wells Fargo Clearing Services, LLC; LPL Financial LLC; Cetera Investment Services, LLC; Merrill Lynch, Pierce, Fenner & Smith, Inc.; Banc of America Investment Services, […]

Allegations of Investment Loss And Theft Due to Financial Misconduct Pending Against Barred Former Morgan Stanley Financial Advisor David Kraft

David Kraft (CRD#: 2356400) is a previously registered Broker and previously registered Investment Advisor.   Broker’s Background   He entered the securities industry in 1993 and previously worked for Morgan Stanley, Wells Fargo Advisors, LLC; Morgan Keegan & Company, Inc.; and UBS Painewebber, Inc.   Allegations Of Conduct Leading To Investment Loss   According to […]

Former Wells Fargo Financial Advisor James Seijas Barred by FINRA After Allegations He Refused to Participate in Investigation Into Allegations of Misrepresentation Leading to Investment Loss

James Seijas (CRD#: 2392901) is a previously registered Broker and previously registered Investment Advisor.   Broker’s Background   He entered the securities industry in 1997 and previously worked for Wells Fargo Clearing Services, LLC; TD Ameritrade, Inc.; Fidelity Brokerage Services, LLC; Barclays Capital, Inc.; Banc of America Specialist, Inc.; Fleet Securities, Inc.; and Quick & […]

SEC Action Pending Against Former Wells Fargo Investment Advisor Kenneth Welsh After Allegations of Unauthorized Transactions Leading to Investment Loss

Kenneth Welsh (CRD#: 4657872) is a previously registered Broker and previously registered Investment Advisor.   Broker’s Background   He entered the securities industry in 2004 and previously worked for Wells Fargo Clearing Services, LLC; Morgan Stanley Smith Barney; Morgan Stanley & Co. Incorporated; and Morgan Stanley DW, Inc..   Allegations Of Conduct Leading To Investment […]

Customer Dispute Alleging Misconduct Leading to Investment Loss Pending Against Barred Former Wells Fargo Financial Advisor Paul Vizanko

Paul Vizanko (CRD#: 2572222) is a previously registered Broker and previously registered Investment Advisor.  Paul Vizanko was barred by FINRA in May 2021.   Broker’s Background   He entered the securities industry in 1995 and previously worked for Wells Fargo Clearing Services, LLC; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Wells Fargo Investments, LLC; Miller […]

Did You Purchase Northstar Financial Services (Bermuda) Ltd. from Current Wells Fargo and Former Suntrust Financial Advisor Raul Benitez?

Raul Benitez (CRD#: 4457185) is a dually registered Broker and Investment Advisor at Wells Fargo Clearing Services, LLC in Aventura, FL. He entered the securities industry in 2001 and previously worked for Suntrust Advisory Services, Inc.; Suntrust Investment Services, Inc.; LPL Financial, LLC; J. P. Morgan Securities, LLC; Chase Investment Services Corp.; Brokers International Financial […]

Allegations of Selling Away Pending Against Former Wells Fargo Financial Advisor Jeremy Fortner

Jeremy Fortner (CRD#: 4811478) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 2004 and previously worked for Wells Fargo Clearing Services, LLC; J. P. Morgan Securities, LLC; Chase Investment Services Corp.; J. P. Morgan Institutional Investments, Inc.; Chase Investment Services Corp.; T. Rowe Price Investment Services, Inc.; […]

Wells Fargo Financial Advisor Tyler Rigsbee Barred After Allegations of Mishandling Customer Accounts

Tyler Rigsbee (CRD#: 6351278) was a previously registered Broker and Investment Advisor at Wells Fargo Clearing Services, LLC in Sacramento, CA. He entered the securities industry in 2014 and previously worked for Edward Jones. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2021, FINRA sanctioned Tyler Rigsbee, barring […]

First Financial Equity Corp. Investment Advisor Scott Wayne Reed Barred by FINRA After Allegations of Selling Away

Scott Wayne Reed (CRD#: 3007033) was an Financial Advisor at First Financial Equity Corporation and Wells Fargo Advisors in Scottsdale, AZ. He entered the securities industry in 1999 and previously worked for Coastal Equities, Inc.; Accelerated Capital Group; Meridian United Capital, LLC; Fidelity Brokerage Services, LLC; and Ameritrade. According to publicly available records released by […]