Articles Tagged with Wells Fargo Clearing Services

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Milton BeilePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that New Jersey-based Wells Fargo Clearing Services broker/adviser Milton Beile has been sanctioned by FINRA. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Beile (CRD# 4265262).

Milton Beile has spent 16 years in the securities industry and has been registered with Vestech Securities in St. Louis since 2016. Previous registrations include IBN Financial Services in Liverpool, New York (2016-2017); Oakbridge Financial Services in Kirkwood, Missouri (2013-2016); and Merrill Lynch in Clayton, Missouri (2009-2013); and Citigroup Global Markets in Clayton, Missouri (2000-2009). He is a registered broker and investment adviser in Missouri.

According to his BrokerCheck report, Milton Beile has received one FINRA sanction and was terminated from a former employer.

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Scott WallachPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that New Jersey-based Wells Fargo Clearing Services broker/adviser Scott Wallach has been sanctioned by FINRA and issued a suspension from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wallach (CRD# 3108314).

Scott Wallach has spent 19 years in the securities industry and has been registered with Wells Fargo Clearing Services in Paramus, New Jersey since 2003. Previous registrations include Prudential Securities in New York, New York; Painewebber in Weehawken, New Jersey; and Continental Broker-Dealer in Carle Place, 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 39 US states and territories.

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

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Kenneth HarbPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 28, 2017 indicate that Michigan-based Wells Fargo Clearing Services broker/adviser Kenneth Harb has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harb (CRD# 502814).

Kenneth Harb has spent 34 years in the securities industry and has been registered with Wells Fargo Clearing Services in Farmington Hills, Michigan since 2003. Previous registrations include Prudential Securities in New York, New York; Oppenheimer & Company in New York, New York; and Dean Witter Reynolds. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); Series 7 (General Securities Representative Examination); and Series 52 (Municipal Securities Representative Examination). He is a registered broker and investment adviser with 12 US states and territories: Arkansas, California, the District of Columbia, Florida, Indiana, Michigan, Nevada, North Dakota, Ohio, Rhode Island, Texas and Virginia.

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

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Todd BarnesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 27, 2017 indicate that California-based Wells Fargo Clearing Services broker/adviser Todd Barnes has been named a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Barnes (CRD# 2677616).

Todd Barnes has spent 19 years in the securities industry and has been registered with Wells Fargo Clearing Services in Calabasas, California since 2013. Previous registrations include PrimeVest Financial Services in Goleta, California (2008-2012); Wells Fargo Investments in Burbank, California (2006-2007); Citicorp Investment Services in Long Island City, New York (2003-2005); Cal Fed Investments in Sacramento, California (1997-2003); and Invest Financial Corporation in Tampa, Florida (1995-1997). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with five US states and territories: California, Connecticut, Florida, Hawaii, and North Carolina.

According to his BrokerCheck report, Todd Barnes has received one pending customer complaint.

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Vincent MelecoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 22, 2017 indicate that former New York-based Wells Fargo Clearing Services broker/adviser Vincent Meleco was terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Meleco (CRD# 815306).

Vincent Meleco has spent 41 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Albany, New York (2008-2017). Previous registrations include Merrill Lynch in New York, New York (1978-2008) and Merrill Lynch (1975-1978). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); PC (AMEX Put and Call Exam); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received five customer complaints and was discharged from his former employer.

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Michael Brewster

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 19, 2017 indicate that New York-based Wells Fargo Clearing Services broker/adviser Michael Brewster has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Brewster (CRD# 2294956).

Michael Brewster has spent 24 years in the securities industry and has been registered with Wells Fargo Clearing Services in New York, New York since March 2016. Previous registrations include Credit Suisse Securities in New York, New York (2008-2016) and Lehman Brothers in New York, New York (1993-2008). 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 23 US states and territories: California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Minnesota, Montana, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas and Virginia.

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

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Alexandre Leal

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 19, 2017 indicate that Florida-based Wells Fargo Clearing Services broker Alexandre Leal has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Leal (CRD# 2713074).

Alexandre Leal has spent 21 years in the securities industry and has been registered with Wells Fargo Clearing Services in Miami, Florida since 2003. Previous registrations include Prudential Securities Incorporated in New York, New York (2000-2003) and Merrill Lynch Pierce Fenner & Smith Incorporated in New York, New York (1996-2000). He has passed two securities industry examinations: Series 3 (National Commodity Futures Examination) and Series 7 (General Securities Representative Examination). He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, Nasdaq Stock Market, and New York Stock Exchange. He is registered as a broker in California.

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

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Harry FischerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 19, 2017 indicate that California-based Wells Fargo Clearing Services broker/adviser Harry Fischer has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fischer (CRD# 829238).

Harry Fischer has spent 40 years in the securities industry and has been registered with Wells Fargo Clearing Services in San Luis Obispo, California since 2010. Previous registrations include RBC Capital Markets in San Luis Obispo, California; Sutro & Company in San Francisco, California; Everen Securities in St. Louis, Missouri; and Bateman Eichler Hill Richards. He has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); PC (AMEX Put and Call Exam); Series 7 (General Securities Representative Examination); Series 10 (General Securities Sales Supervisor – General Module Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination); Series 4 (Registered Options Principal Examination); Series 12 (NYSE Branch Manager Examination); and Series 40 (Registered Principal Examination). He is a registered broker and investment adviser with 14 US states and territories: Arizona, California, Colorado, Florida, Georgia, Louisiana, Nevada, New Jersey, New York, Oregon, Texas, Utah, Washington and Wyoming.

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

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Jeffrey MischelPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2017 indicate that California-based Wells Fargo Clearing Services broker/adviser Jeffrey Mischel has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mischel (CRD# 1374486).

Jeffrey Mischel has spent 32 years in the securities industry and has been registered with Wells Fargo Clearing Services in Carlsbad, California since 2010. Previous registrations include UBS Financial Services in Carlsbad, California (1988-2010) and Merrill Lynch (1985-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 23 US states and territories.

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

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David MeskerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 28, 2017 indicate that Missouri-based Wells Fargo Clearing Services broker David Mesker has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mesker (CRD# 2102727).

David Mesker has spent 26 years in the securities industry and has been registered with Wells Fargo Clearing Services in Frontenac, Missouri since 2008. He was previously registered with AG Edwards & Sons (1991-2008). He has passed two securities industry examinations; Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination. He is a registered broker with 24 US states and territories: California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Iowa, Kansas, Louisiana, Maryland, Massachusetts, Michigan, Missouri, New York, North Carolina, Ohio, Pennsylvania, Texas, Virginia, Washington and Wisconsin.

According to his BrokerCheck report, David Mesker has received one pending customer complaint.