Wells Fargo Sued For Misappropriation and Unsuitable Recommendations Jeffrey Scott Thompson (CRD#: 4602601, Lakeland, Florida) has been a Wells Fargo Clearing Services LLC registered representative between November 6, 2013 and June 1, 2017. Wells Fargo Advisors disclosed on Thompson’s FINRA BrokerCheck file that Thompson’s activities in the customer’s account between January 29, 2016 and August […]

FINRA Bars Benjamin Jerold Broker Juergen Weber Juergen Weber (CRD#: 2617323, New York, New York) has been a registered representative of Benjamin & Jerold Brokerage I, LLC between August 29, 2011 and July 25, 2018. FINRA barred Weber in all capacities pursuant to a Letter, Waiver and Consent (“AWC”) #2017056035501 executed on Sept. 5, 2018. […]

Popular Securities Sued Over Unsuitable Puerto Rican Bond Sales Alberto Castaner (CRD #: 1603341, Fort Lauderdale, Florida) has been a registered representative of Popular Securities, LLC from December 8, 2007 to June 27, 2004. Financial Industry Regulatory Authority (“FINRA”) BrokerCheck discloses that a Popular Securities customer filed a complaint concerning Castaner’s conduct on June 21, […]

FINRA Investigating UBS’s Phillip George Farmer For Unsuitability Phillip George Farmer (CRD#: 2306865, Wilmington, Delaware) was a registered representative of UBS Financial Services Inc. from February 17, 2009 to January 6, 2016. On October 19, 2017, Financial Industry Regulatory Authority (“FINRA”) launched an investigation into Farmer’s sales practices. Phillip George Farmer Suitability Investigation FINRA BrokerCheck […]