Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 28, 2018 indicate that Massachusetts-based Wells Fargo Clearing Services broker/adviser David Manor, who has received resolved or pending customer disputes, recently resigned from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Manor (CRD# 6033220).
David Manor has spent five years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Boston, Massachusetts (2016-2018). Previous registrations include Santander Securities in Brookline, Massachusetts (2013-2016) and Merrill Lynch in Boston, Massachusetts (2012-2013). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 29, 2012, and Series 7 (General Securities Representative Examination), which he obtained on June 28, 2012. He is currently not registered with any state, firm, or self-regulatory organization.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint, and he resigned from a former employer in connection to alleged rule violations.
In January 2018 a customer alleged David Manor, while employed at made unsuitable investments for the customer through Charles Schwab. The customer is seeking $225,000 in damages in the pending complaint.
In January 2018 he submitted his “voluntary resignation” from Wells Fargo Clearing Services during the course of an investigation into allegations by a customer that he recommended they invest away from the firm and additionally that he assisted the customer in such an outside investment.
In 2016 a customer alleged David Manor, while employed at Santander Securities, misrepresented material facts and recommended an unsuitable variable annuity investment. The complaint settled in May 2017 for $30,000.
If you have lost money investing with David Manor, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. 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.