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Category Wells Fargo Advisors

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

November 23, 2021

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

November 16, 2021

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

November 16, 2021

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

November 16, 2021

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…

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