Former Pennsylvania Broker, David Wells, Barred by FINRA

Soreide Law Group obtained the following information from FINRA’s July 2017 Disciplinary Report: 

David Wesley Wells (David Wells) (CRD #3252656, Hanover, Pennsylvania)  

Has been barred by FINRA from acting as a broker or otherwise associating with firms that sell securities to the public for allegedly refusing to produce information and documents FINRA requested during the course of an investigation into allegations that he misappropriated funds from at least one client.

(FINRA Case #2016052622602)

According to FINRA’s BrokerCheck, David Wells, had been registered in the securities industry for 17 years and was listed with one firm:

07/30/1999 – 12/22/2016  MID ATLANTIC CAPITAL CORPORATION – HANOVER, PA

David Wells has 2 Disclosures on his report, one of the Disclosures was a discharge from Mid Atlantic Capital after allegations of alleged misappropriation of funds from customer account(s) while serving in his capacity as a trust officer of a trust company not related to the broker dealer.

If you were a client of David Wells formerly of Mid Atlantic Capital Corporation of Hanover, Pennsylvania, and suffered financial losses due to his actions or recommendations, call Soreide Law Group and speak to a securities lawyer at no-cost regarding the possible recovery of your losses through a FINRA arbitration at:  888-760-6552.

Soreide Law Group represents clients nationwide before FINRA and we operate on a contingency fee basis.  Let our experience work for you.

 

2017-08-02T19:04:28+00:00 August 2nd, 2017|

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