One or more investors possibly experienced losses because of securities broker James Eugene Holmes III [CRD: 2174697, Winston Salem, North Carolina], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Holmes worked for Wells Fargo Clearing Services LLC from August 30, 2019, to October 10, 2024, and for Stephens from March 11, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures regarding securities broker Louis Peter Goff [CRD: 4882759, Salt Lake City, Utah]. Goff worked for Wells Fargo Clearing Services LLC from September 12, 2011, to October 25, 2023. Keep reading to learn more about the allegations that have led to regulatory actions about Goff. SEC Bars Goff […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John George Rotando Jr. [CRD: 2071444, Greenwich, Connecticut]. Rotando joined Wells Fargo Clearing Services LLC on April 29, 2016, and he also serves as a financial advisor with Wells Fargo Advisors. Before his time at Wells Fargo, he worked for UBS PaineWebber Inc. and […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Paul Francis Trimber [CRD: 2765260, Alexandria, Virginia], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Trimber worked for Wells Fargo Clearing Services LLC from July 1, 2003, to February 29, 2024. Keep reading to […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have suffered losses involving financial advisor and securities broker, Sevag Raffi Haddadian [CRD#: 3249290, Brea, California]. Haddadian worked for Wells Fargo Clearing Services LLC from January 13, 2022, to July 7, 2022, and Morgan Stanley from June 1, 2009, to January 27, […]

Wells Fargo Sued For Excessive Trading, Unsuitability Soreide Law Group is investigating claims of unsuitability on behalf of customers who invested with Wells Fargo Clearing Services, LLC (CRD#: 19616, St. Louis, Missouri) securities brokers and financial advisors Robyn Zitzewitz Rose, David Michael Bellia, Richard Clarence DeYoung Jr. and Nathan Berry Hooker, all who disclosed disputes. […]

Customer Alleges Misrepresentation By Wells Fargo’s Jason Freeman Jason Marc Freeman (CRD#: 2339472, Boca Raton, Florida) has been a registered representative of Wells Fargo Clearing Services, LLC since March 20, 2009. Financial Industry Regulatory Authority (“FINRA”) BrokerCheck discloses that a Wells Fargo customer complained about Freeman’s conduct. Wells Fargo Customer Alleged Misrepresentation The customer filed […]

Wells Fargo’s Robert Meyers Discharged For Unapproved Recommendations Robert David Meyers (CRD#: 1409245, Columbus, Ohio) has been a registered representative of Wells Fargo Clearing Services, LLC from July 23, 2007 to October 17, 2017. Financial Industry Regulatory Authority (“FINRA”) BrokerCheck indicates that Meyers was discharged by Wells Fargo for misconduct. Particularly, Wells Fargo alleged that […]