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.
FINRA barred securities broker Alan K. Ngo [CRD: 4273116, Freehold, New Jersey], given the publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ngo worked for PFS Investments Inc. from January 2, 2003, to November 25, 2025. See below to learn more about Ngo’s disclosures. FINRA Sanctioned Ngo For Failing To Comply During Investigation […]
FINRA barred securities broker Kevin Christopher McCarthy [CRD: 1702715, Hialeah, Florida], and investors complained about him, based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCarthy worked for Madison Avenue Securities LLC from December 4, 2007, to January 30, 2026. Investors are encouraged to continue reading to find out more about McCarthy’s […]
FINRA barred securities broker Mohammed Anayet Karim [CRD: 4419277, Lakeland, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Karim worked for BB&T Securities LLC from September 24, 2018, to February 17, 2021, and Truist Investment Services Inc. from February 17, 2021, to August 8, 2025. See the following information to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com