- June 22, 2018
- Broker Discipline
- Misrepresentation
- Unsuitability
The Wolper Law Firm is currently investigating claims against Earl Tingley, a former Financial Advisor at Wells Fargo in Winter Haven, FL. Earl Tingley has been in the securities industry since 2001.
According to public records released by the Financial Industry Regulatory Authority (FINRA), on April 27, 2018, Earl Tingley was discharged by Wells Fargo “after he acknowledged receiving a loan from a client in violation of the Firm policies and failing to inform the Firm regarding same.” Both firm policy and industry regulations strictly prohibit this type of misconduct.
In addition, Earl Tingley has been the subject of two prior customer complaints, including a 2008 complaint alleging “misrepresentation of investment.” The matter was subsequently settled for $200,000.
https://brokercheck.finra.org/individual/summary/4444579#disclosuresSection
If you or someone you know was a customer of Earl Tingley and you experienced investment losses, please contact the Wolper Law Firm at 800.931.8452 or by email at mwolper@67.43.6.64 to discuss your specific situation and the legal options available. The Wolper Law Firm represents investors nationwide in securities litigation and arbitration.
Attorney Matthew Wolper
Matt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks. [Attorney Bio]