Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 11, 2017 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Michael Hopkins has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hopkins (CRD# 4215619).
Michael Hopkins has spent 17 years in the securities industry and has been registered with Wells Fargo Clearing Services in The Villages, Florida since 2011. Previous registrations include in The Villages, Florida (2009-2011); Morgan Stanley & Company in The Villages, Florida (2007-2009); Morgan Stanley DW in The Villages, Florida (2005-2007); and AG Edwards & Sons in St. Louis, Missouri (2000-2005). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 23, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 14, 2000; Series 31 (Futures Managed Funds Examination), which he obtained on May 4, 2009; and Series 7 (General Securities Representative Examination), which he obtained on August 9, 2000. He is a registered broker and investment adviser with 18 US states and territories: Alabama, California, Colorado, Connecticut, Delaware, Florida, Georgia, Indiana, Kentucky, Maryland, Massachusetts, New Hampshire, New York, North Carolina, Pennsylvania, Rhode Island, Texas, and Virginia. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In September 2017 a customer alleged Michael Hopkins, while employed at Wells Fargo Clearing Services, breached his fiduciary duty when he did not advise the customer that trades could be executed online for a lower cost. The customer is seeking approximately $7,000 in damages in the pending complaint.
In 2014 a customer alleged Michael Hopkins, while employed at Wells Fargo Advisors, misrepresented material facts related to investments in municipal bond products. The complaint settled in 2014 for $8,815.
If you or someone you know has lost money investing with Michael Hopkins, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.