Articles Tagged with Wells Fargo Clearing Services

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Thomas NorthPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 26, 2018 indicate that California-based Wells Fargo Clearing Services broker/adviser Thomas North has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. North (CRD# 723949).

Thomas North has spent 37 years in the securities industry and has been registered with Wells Fargo Clearing Services in Carmel, California since 2012. Previous registrations include Merrill Lynch in Carmel, California (2005-2012) and Morgan Stanley DW in Purchase, New York (1980-2005). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 8, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 8, 1980; Series 5 (Interest Rate Options Examination), which he obtained on April 30, 1982; and Series 7 (General Securities Representative Examination), which he obtained on October 18, 1980. He is a registered broker and investment adviser with 15 US states and territories: Arizona, Arkansas, California, Colorado, Hawaii, Maryland, Massachusetts, Montana, Nevada, New York, Oklahoma, Oregon, Pennsylvania, 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 pending customer complaint and two denied customer complaints.

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Adam Moldof

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Adam Moldof has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Moldof (CRD# 2657404).

Adam Moldof has spent 22 years in the securities industry and has been registered with Wells Fargo Clearing Services in Boca Raton, Florida since 2003. He was previously registered with Prudential Securities in New York, New York (1995-2003). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 20, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 4, 1995; Series 31 (Futures Managed Funds Examination), which he obtained on November 5, 2003; and Series 7 (General Securities Representative Examination), which he obtained on November 20, 1995. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Indiana, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia, and Washington.

According to his BrokerCheck report, he has received one pending customer complaint and one customer complaint that was closed with no action taken.

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Mitchell Rock

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2018 indicate that New York-based Wells Fargo Clearing Services broker/adviser Mitchell Rock has been involved in customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rock (CRD# 1451592).

Mitchell Rock has spent 31 years in the securities industry and has been registered with Wells Fargo Clearing Services in New York, New York since August 2016. Previous registrations include Morgan Stanley & Company in New York, New York (2008-2009); UBS Financial Services in New York, New York (2000-2008); CIBC World Markets Corporation in New York, New York (1993-2000); Merrill Lynch in New York, New York (1992); Dubin & Swieca Securities in New York, New York (1991); Lehman Brothers in New York, New York (1988-1991); and EF Hutton & Company (1986-1988). He has passed four securities industry examinations: Series 65 (Investment Adviser Law Examination), which he obtained on September 14, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 20, 1987; Series 3 (National Commodity Futures Examination), which he obtained on March 9, 1989; and Series 7 (General Securities Representative Examination), which he obtained on April 19, 1986. He is a registered broker and investment adviser with 15 US states and territories: Alabama, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Maryland, Massachusetts, Nevada, New Jersey, New York, Pennsylvania, Texas, and Virginia.

According to his BrokerCheck report, he has received four customer complaints and five customer complaints that were denied.

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Cara PaynterPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that California-based Wells Fargo Clearing Services broker/adviser Cara Paynter is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Paynter (CRD# 4687406).

Cara Paynter has spent 14 years in the securities industry and has been registered with Wells Fargo Clearing Services in Foothill Ranch, California since 2011. Previous registrations include Wells Fargo Clearing Advisors in Newport Beach, California (2010-2011); Northern Trust Securities in Newport Beach, California (2006-2010); Wells Fargo Investments in San Francisco, California (2004-2006); and Banc of America Investment Services in Boston, Massachusetts (2004). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on May 3, 2004, and Series 7 (General Securities Representative Examination), which she obtained on February 17, 2004. She is a registered broker and investment adviser with four US states: Arizona, California, Florida, and Indiana. 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 one pending customer complaint and one denied customer complaint.

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Daniel TompkinsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Daniel Tompkins has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tompkins (CRD# 2165219).

Daniel Tompkins has spent 25 years in the securities industry and has been registered with Wells Fargo Clearing Services in Boca Raton, Florida since 2009. Previous registrations include Citigroup Global Markets in Taramac, Florida (2007-2009); Citicorp Investment Services in Taramac, Florida (2002-2007); Quick & Reilly in New York, New York (2001-2002); Bear Stearns & Company in New York, New York (1006-2001); Painewebber in Weehawken, New Jersey (1994-1996); and Smith Barney Shearson in New York, New York (1991-1994). He has passed three securities industry examinations: Seres 65 (Uniform Investment Adviser Law Examination), which he obtained on January 28, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 20, 1991; and Series 7 (General Securities Representative Examination), which he obtained on September 3, 1991. He is a registered broker and investment adviser with 15 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, Illinois, Maryland, New Jersey, New York, North Carolina, Tennessee, Texas, and Utah. 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, one denied customer complaint and one pending customer complaint.

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Vernon SearsPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 29, 2018 indicate that former Texas-based Wells Fargo Clearing Services broker/adviser Vernon Sears, who has received a customer dispute, was discharged from his former employer in connection to alleged rule violations is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sears (CRD# 5783551).

Vernon Sears has spent seven years in the securities industry and was most recently registered with Wells Fargo Clearing Services in San Antonio, Texas (2014-2018). He was previously registered with Raymond James & Associates in San Antonio, Texas (2010-2014). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 19, 2010, and Series 7 (General Securities Representative Examination), which he obtained on June 18, 2010. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations, and he has received one customer complaint and one denied customer complaint.

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George DancePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that Alabama and Mississippi-based Wells Fargo Clearing Services broker/adviser George Dance is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dance (CRD# 2112036).

George Dance has spent 27 years in the securities industry and has been registered with Wells Fargo Clearing Services in Daphne, Alabama; Biloxi, Mississippi; Gulfport, Mississippi; Ocean Springs, Mississippi; and Pascagoula, Mississippi since 2012. Previous registrations include Morgan Stanley Smith Barney in Mobile, Alabama (2009-2012); Citigroup Global Markets in Mobile, Alabama (2006-2009); Amsouth Investment Services in Mobile, Alabama (2002-2006); Wachovia Securities in St. Louis, Missouri (2002); Wachovia Securities in Charlotte, North Carolina (1993-2002); First Union Brokerage Services in Charlotte, North Carolina (2000); and Edward D. Jones & Company in St. Louis, Missouri (1990-1993). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 29, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 14, 1990; Series 31 (Futures Managed Funds Examination), which he obtained on April 8, 1999; Series 7 (General Securities Representative Examination), which he obtained on December 11, 1990; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on December 12, 2000; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on October 26, 2000. He is a registered broker and investment adviser with Alabama, California, Connecticut, Florida, Georgia, Idaho, Kansas, Louisiana, Michigan, Mississippi, Nevada, New York, Oregon, and Texas.

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

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Nancy BrantonPublic 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.

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Darrell HesfordPublic records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2018 indicate that California-based Wells Fargo Clearing Services broker/adviser Darrell Hesford has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hesford (CRD# 1735905).

Darrell Hesford has spent 28 years in the securities industry and has been registered with Wells Fargo Clearing Services in Escondido and Carlsbad, California since 2011. Previous registrations include Wells Fargo Investments in Escondido, California (2001-2011); Wells Fargo Securities in San Francisco, California (1994-2001); Griffin Financial Services (1993-1994); and New England Securities in New York, New York (1990-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 15, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 19, 1990; and Series 7 (General Securities Representative Examination), which he obtained on March 17, 1990. He is a registered broker and investment adviser with 25 US states ad territories: Alabama, Arizona, California, Colorado, Connecticut, Florida, Hawaii, Idaho, Iowa, Maryland, Minnesota, Missouri, Nevada, New Mexico, New York, North Carolina, Ohio, Oregon, South Carolina, South Dakota, Texas, Utah, Vermont, Virginia, and Washington. 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, one pending customer complaint, and one denied customer complaint.

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Nathan HookerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 16, 2018 indicate that Tennessee-based Wells Fargo Clearing Services broker/adviser Nathan Hooker has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hooker (CRD# 2813468).

Nathan Hooker has spent 21 years in the securities industry and has been registered with Wells Fargo Clearing Services in Memphis, Tennessee since 2004. Previous registrations include Legg Mason Wood Walker in Baltimore, Maryland (2000-2004) and JC Bradford & Company in New York, New York (1996-2000). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 23, 1996, and Series 7 (General Securities Representative Examination), which he obtained on December 6, 1996. He is a registered broker and investment adviser with 23 US states and territories: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Indiana, Louisiana, Massachusetts, Mississippi, Missouri, New Hampshire, New Mexico, North Carolina, Oklahoma, Oregon, Pennsylvania, South Carolina, Tennessee, and Texas. 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 pending customer complaint.