An arbitration panel of the Financial Industry Regulatory Authority (FINRA) has ruled in favor of the investor in an arbitration case against Wells Fargo Advisors LLC, and E*Trade Securities LLC. The FINRA arbitration panel found Wells Fargo Advisors liable to the investor for $50,253 in compensatory damages, and E*Trade Securities liable for an additional $33,502 […]

A Wells Fargo Advisors investment adviser was sentenced to a two-year federal prison March 4th., 2013, for his role in an investment scheme in which he stole nearly $1 million in profits from trades executed on his clients' behalf. Philip D. Horn, 51, a former managing director at the Westwood Village branch office of Wells […]