Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that Mississippi-based Wells Fargo Clearing Services broker/adviser Nancy Branton has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Branton (CRD# 1764824).
Nancy Branton has spent 29 years in the securities industry and has been registered with Wells Fargo Clearing Services in Ridgeland, Mississippi since 2009. Previous registrations include UBS Financial Services in Jackson, Mississippi (2004-2009); Legg Mason Wood Walker in Baltimore, Maryland (1999-2004); Sterne Agee & Leach in Birmingham, Alabama (1996-1999); Merrill Lynch in New York, New York (1990-1996); GNA Securities in Richmond, Virginia (1989-1990); Pruco Securities Corporation (1988); the Prudential Insurance Company of America (1988); and Lincoln Investment Planning (1988). She has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on May 24, 2006; Series 65 (Uniform Investment Adviser Law Examination), which she obtained on November 5, 1994; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on December 18, 1987; Series 31 (Futures Managed Funds Examination), which she obtained on February 6, 2004; Series 7 (General Securities Representative Examination), which she obtained on December 5, 1990; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on January 11, 1988. She is a registered broker and investment adviser with 19 US states and territories: Alabama, Arizona, Arkansas, California, Florida, Georgia, Iowa, Kentucky, Louisiana, Massachusetts, Mississippi, Missouri, New York, North Carolina, Oregon, Texas, Virginia, and West Virginia. She 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 her BrokerCheck report, she has received two customer complaints and one pending customer complaint.
In April 2018 a customer alleged Nancy Branton, while employed at Wells Fargo Advisors, made “impermissible investments” in foreign bonds. The customer is seeking unspecified damages in the pending complaint.
In 2009 a customer filed a complaint against Nancy Branton, while she was employed at UBS Financial Services, in connection with the sale of an auction rate security prior to the widespread illiquidity in the market for auction rate securities. The complaint settled with the firm’s repurchase of the securities at par value, for $750,000.
In 2010 a party of customers alleged Nancy Branton, while employed at UBS Financial Services, made unauthorized trades, changed their investment profile to aggressive/speculative, replaced blue chip stocks with speculative securities, and opened a margin account for them without authorization. The complaint settled for $15,000.
If you or someone you know has a complaint regarding Nancy Branton, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.