Staff AttorneyDec 7, 20182 minFINRA Suspends Wells Fargo Broker Richard Hughes for Unsuitable Short-Term UIT Investment RecommendaThe Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Wells Fargo financial advisor Richard S....
Staff AttorneyOct 30, 20182 minFINRA Brings Complaint against LPL Broker Brian Lawrence Stephan for Unsuitable Mutual Fund RecommenThe Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Brian Lawrence Stephan (Stephan) in connection...
Staff AttorneyOct 12, 20182 minFINRA Suspends Wells Fargo Broker Lloyd Layton for Unsuitable Short-Term UIT Investment RecommendatiThe Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Morgan Stanley and current Wells Fargo...
Staff AttorneyDec 21, 20172 minLegend Securities Broker Marlon Cole Disciplined for Churning and other MisconductThe Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Marlon O. Cole (Cole) concerning allegations he...