Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that former Texas-based Wells Fargo Clearing Services broker/adviser Owen Hayes has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hayes (CRD# 2940457).
Owen Hayes has spent 21 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Dallas, Texas (2011-2019). Previous registrations include Wells Fargo Investments in Plano, Texas (2002-2011); Hibernia Investments in New Orleans, Louisiana (1997-2001); and Pruco Securities Corporation in Newark, New Jersey (1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 2, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 18, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on June 17, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 2, 1997. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received four customer complaints and one pending customer complaint.
In January 2019 a customer alleged Owen Hayes, while employed at Wells Fargo Advisors, failed to follow instructions to purchase a certificate of deposit. The customer is seeking unspecified damages in the pending complaint.
In 2013 a customer alleged Owen Hayes, while employed at Wells Fargo Advisors, executed unauthorized trades. The complaint settled for $5,000.
In 2001 a customer alleged Owen Hayes, while employed at Hibernia Investments, misrepresented and omitted material facts in connection to unsuitable mutual fund recommendations. The complaint settled for $36,500.
In 2001 a customer alleged he, while employed at Hibernia Investments, misrepresented material facts related to a variable annuity investment. The complaint settled for more than $12,700.
If you have lost money investing with Owen Hayes, you may be eligible to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only receive payment if and when you recover money. You might have a limited window to file your claim, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.