Articles Tagged with Wells Fargo Clearing Services

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Dennis McNamaraPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that New Jersey-based Wells Fargo Clearing Services broker/adviser Dennis McNamara has been sanctioned by FINRA and issued a suspension from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McNamara (CRD# 1791930).

Dennis McNamara has spent 29 years in the securities industry and has been registered with Wells Fargo Clearing Services in Wayne and Bogota, New Jersey since 2013. Previous registrations include PNC Investments in Wayne, New Jersey; Banc of America Investment Services in Glen Rock, New Jersey; Quick & Reilly in New York, New York; International Securities Corporation in New York, New York; Leumi Securities Corporation in New York, New York; Hibbard Brown & Company in New York, New York; and Sherwood Capital. He is a registered broker and investment adviser with six US states: California, Florida, New Jersey, New York, North Carolina, and Pennsylvania.

According to his BrokerCheck report, he has received three customer complaints and one FINRA sanction.

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Peter MalisPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 8, 2017 indicate that California-based Wells Fargo Clearing Services broker/adviser Peter Malis has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Malis (CRD# 317892).

Peter Malis has spent 48 years in the securities industry and has been registered with Wells Fargo Clearing Services in Woodland Hills, California since 2003. Previous registrations include Prudential Securities in New York, New York; Bache Halsey Stuart; Paine Webber Jackson & Curtis; and Middendorf Colgate & Company. He is a registered broker and investment adviser with 22 US states and territories.

According to his BrokerCheck report, he has received four customer complaints.

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Jennifer KelleyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31, 2017 indicate that Vermont-based Wells Fargo Clearing Services broker/adviser Jennifer Kelley has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Kelley (CRD# 1192403)

Jennifer Kelley has spent 32 years in the securities industry and has been registered with Wells Fargo Clearing Services in Burlington, Vermont since 2008. Previous registrations include AG Edwards & Sons in Burlington, Vermont (1988-2008); Robert Thomas Securities (1987-1988); Raymond James & Associates (1987); Dougherty Dawkins Strand & Yost (1985-1987); and Smith Barney Harris Upham & Company (1984-1985). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). She is a registered broker and investment adviser with 37 US states and territories.

According to her BrokerCheck report, she has received one pending customer complaint and two denied customer complaints.

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Saynie SamPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2017 indicate that former California-based Wells Fargo Clearing Services broker/adviser Saynie Sam has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Sam (CRD# 5556645).

Saynie Sam has spent eight years in the securities industry and was most recently registered with Wells Fargo Clearing Services in San Mateo, California (2016). Previous registrations include Morgan Stanley in Menlo Park, California and Morgan Stanley & Company in San Jose, California. She has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). She is currently not registered with any state or firm.

According to her BrokerCheck report, she has been sanctioned by FINRA and resigned from her former employer.

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Keith Fontenot

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that Louisiana-based Wells Fargo Clearing Services broker/adviser Keith Fontenot has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fontenot (CRD# 2296303).

Keith Fontenot has spent 24 years in the securities industry and has been registered with Wells Fargo Clearing Services in Lafayette, Louisiana since 2003. He was previously registered with Prudential Securities in New York, New York (1993-2003). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with thirteen US states and territories: Alabama, Arizona, California, Florida, Georgia, Kentucky, Louisiana, Mississippi, Ohio, Oklahoma, Tennessee, Texas and Utah.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

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David WeltyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 27, 2017 indicate that former Pennsylvania-based Wells Fargo Clearing Services broker David Welty has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Welty (CRD# 6020910).

David Welty has spent four years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Norristown, Pennsylvania (2012-2016). He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from his former employer.

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Richard LuckerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 24, 2017 indicate that Texas-based Wells Fargo Clearing Services broker/adviser Richard Lucker has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lucker (CRD# 2285760).

Richard Lucker has spent 24 years in the securities industry and has been registered with Wells Fargo Clearing Services in El Paso, Texas since 2014. Previous registrations include Morgan Stanley in Tucson, Texas; Morgan Stanley & Company in Lake Oswego, Oregon; Merrill Lynch in Bellevue, Washington; Charles Schwab & Company in San Francisco, California; Buttonwood Securities, which has been expelled by FINRA, in New York, New York; and Portfolio Asset Management/USA Financial Group in El Paso, Texas. He is a registered broker and investment adviser in four US states: Arizona, Arkansas, New Mexico and Texas.

According to his BrokerCheck report, Richard Lucker has received one pending customer complaint.

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Gregory MichaelPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 24, 2017 indicate that Virginia-based Wells Fargo Clearing Services broker/adviser Gregory Michael has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Michael (CRD# 3059577).

Gregory Michael has spent eighteen years in the securiteis industry and has been registered with Wells Fargo Clearing Services in Winchester, Virginia since 2007. Previous registrations include Morgan Stanley & Company in Winchester, Virginia (2007) and Morgan Stanley DW in Winchester, Virginia (1998-2007). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), Series 31 (Futures Managed Funds Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 21 US states and territories.

According to his BrokerCheck report, Gregory Michael has received one pending customer complaint.

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Alan RosePublic records published by the Financial Industry Regulatory Authority (FINRA) on February 27, 2017 indicate that New York-based Wells Fargo Clearing Services broker/adviser Alan Rose has been the subject of numerous resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rose (CRD# 1157972).

Alan Rose has spent 33 years in the securities industry and has been registered with Wells Fargo Clearing Services in Melville, New York since 2013. Previous registrations include UBS Financial Services in Melville, New York; Morgan Stanley & Company in Melville, New York; and Morgan Stanley DW in Melville, New York. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 19 US states and territories.

According to his BrokerCheck report, he has received five customer complaints and one pending customer complaint.

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Daniel Fain

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 10, 2017 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Daniel Fain has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fein (CRD# 500386).

Daniel Fain has spent forty years in the securities industry and has been registered with Wells Fargo Clearing Services in Boca Raton, Florida since 2003. Previous registrations include Prudential Securities in New York, New York; Hanauer Stern & Company; First Interregional Equity Corporation; and JB Hanauer & Company. He is a registered broker and investment

According to his BrokerCheck report, Daniel Fain has received one pending customer complaint.