Investors possibly experienced sales practice violations by securities broker William Randall Moening (also known as Randy Moening) [CRD: 3029155, Austin, Texas], according to publicly available information on FINRA BrokerCheck. Evidently, Moening worked for RBC Capital Markets LLC from January 29, 2024, to April 9, 2025. Keep reading to find out more about the securities broker’s […]

Investors have reportedly disputed the sales practices of securities broker Kevin Joseph Schaefer [CRD: 1286030, San Francisco, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kevin Schaefer has been registered with Wells Fargo Clearing Services LLC and Wells Fargo Advisors in San Francisco, California, since August 16, 2019. Previously, he worked […]

Investors have reportedly disputed the sales practices of securities broker Matthew Jay Kutcher (also known as Matt Kutcher) [CRD: 2456469, Palm Beach, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kutcher has been registered with Wells Fargo Clearing Services LLC and Wells Fargo Advisors, both in Palm Beach, Florida, […]

FINRA sanctioned securities broker Ashlee Nicole Godfrey (also known as Ashlee Nicole Bramlett and Ashlee Nicole Sharp) [CRD: 5889108, Dalton, Georgia], and investors complained about her, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Godfrey worked for Wells Fargo Clearing Services LLC from February 14, 2014, to October 14, 2021, and […]

Investors apparently complained about securities broker Victoria Leigh Pierce (also known as Victoria Wightman Pierce) [CRD: 1311269, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Pierce joined J.P. Morgan Securities LLC on February 15, 2013, serving both as a securities broker and financial advisor. Below, you […]

Investors potentially experienced sales practice violations because of securities broker Mark Connolly [CRD: 4443644, Fort Worth, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Connolly joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors on January 1, 2008, operating out of Fort Worth and Colleyville, Texas. Below, you can learn more […]

Investors potentially experienced sales practice violations due to securities broker Aubrey Dexter Parker [CRD: 2454088, Stone Mountain, Georgia], according to publicly available information on FINRA BrokerCheck. Parker worked for Wells Fargo Clearing Services LLC from December 15, 2010 to July 14, 2025. Below, you can learn more about the disclosures involving Parker, including investor complaints […]

Investors potentially experienced sales practice violations due to securities broker George John Cairnes (also known as George Cairnes) [CRD: 4068906, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. George Cairnes worked for Wells Fargo Clearing Services LLC from January 3, 2011 to July 24, 2023, and later at Chelsea Financial Services […]

Investors may have incurred losses because of securities broker Donna Patrice Bromfield-Day [CRD: 5480459, Manor, Texas], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Donna Bromfield-Day has worked with Wells Fargo Clearing Services LLC and Wells Fargo Advisors since December 1, 2014, operating out of offices in Fort Worth, Texas, and Austin, Texas. […]