Articles Tagged with Wells Fargo Clearing Services

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Steven SinderbrandPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that New York-based Wells Fargo Clearing Services broker/adviser Steven Sinderbrand has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sinderbrand (CRD# 2136608).

Steven Sinderbrand has spent 26 years in the securities industry and has been registered with Wells Fargo Clearing Services in New York, New York and Linwood, New Jersey since 2008. Previous registrations include UBS Financial Services in New York, New York (2002-2008) and Merrill Lynch in New York, New York (1991-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 28, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 8, 1991; Series 31 (Futures Managed Funds Examination), which he obtained on June 9, 2004; and Series 7 (General Securities Representative Examination), which he obtained on April 9, 1991. He is a registered broker and investment adviser with 29 US states and territories and 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 five customer complaints and one denied customer complaint.

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Timothy Scherwa

Public available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2017 indicate that former New Jersey-based Wells Fargo Clearing Services broker/adviser Timothy Scherwa was discharged from a former employer in connection to allegations of rule violations and is currently not affiliated with any FINRA broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Scherwa (CRD# 2743773).

Timothy Scherwa has spent 21 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Morris Plains, New Jersey (2014-2017). Previous registrations include Morgan Stanley in Morristown, New Jersey (2009-2014); Morgan Stanley & Company in Morristown, New Jersey (2007-2009); Morgan Stanley DW in Morristown, New Jersey (1997-2007); and DH Blair & Company in New York, New York (1996-1997). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 17, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 31, 1996; Series 31 (Futures Managed Funds Examination), which he obtained on December 7, 1988; and Series 7 (General Securities Representative Examination), which he obtained on May 23, 1996. He is currently not registered with any state or firm.

According to his BrokerCheck report, Timothy Scherwa was recently discharged from his former employer in connection to alleged rule violations.

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Robert Meyers

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2017 indicate that former Ohio-based Wells Fargo Clearing Services broker/adviser Robert Meyers was discharged 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. Meyers (CRD# 1409245).

Robert Meyers has spent 31 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in Columbus, Ohio (2007-2017). Previous registrations include Merrill Lynch in Upper Arlington, Ohio (2006-2007); AdVest in Hartford, Connecticut (1990-2006); Blunt Ellis & Loewi (1988-1990); Shearson Lehman Brothers (1987); and Prudential Bache Securities (1985-1987). 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 currently not affiliated with any state or firm.

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

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John Wesh

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 1, 2017 indicate that Tennessee-based Wells Fargo Clearing Services broker/adviser John Wesh has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wesh (CRD# 1217028).

John Wesh has spent 33 years in the securities industry and has been registered with Wells Fargo Clearing Services in Knoxville, Tennessee since 2008. Previous registrations include AG Edwards & Sons in Knoxville, Tennessee (1990-2008); Dean Witter Reynolds in Purchase, New York (1987-1990); Smith Barney Harris Upham & Company (1985-1987); and Greentree Securities Corporation (1983-1985). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 15, 1985, and Series 7 (General Securities Representative Examination), which he obtained on December 17, 1983. He is a registered broker and investment adviser with 25 US states and territories: Alabama, California, Delaware, Florida, Georgia, Illinois, Kansas, Kentucky, Maine, Maryland, Massachusetts, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Virginia, West Virginia and Wisconsin. 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 one denied customer complaint.

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John RauchPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed and accessed on November 30, 2017 indicate that New Jersey-based Wells Fargo Clearing Services broker/adviser John Rauch has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rauch (CRD# 1648935).

John Rauch has spent 29 years in the securities industry and has been registered with Wells Fargo Clearing Services in Red Bank, New Jersey and New York, New York since 2012. Previous registrations include Morgan Stanley Smith Barney in Red Bank, New Jersey (2009-2012); Morgan Stanley & Company in Red Bank, New Jersey (2008-2009); UBS Financial Services in Red Bank, New Jersey (2002-2008); Glen Rauch Securities in New York, New York (1989-2002); Dominick & Dominick in New York City, New York (1988-1989); and Glen Rauch Securities (1987-1988). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 29, 2012; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 26, 1987; and Series 7 (General Securities Representative Examination), which he obtained on March 21, 1987. He is a registered broker and investment adviser with 18 US states and territories: California, Colorado, Connecticut, the District of Columbia, Florida, Illinois, Indiana, Maryland, Massachusetts, Mississippi, New Jersey, New York, North Carolina, Pennsylvania, Puerto Rico, Texas, Virginia and Washington. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Exchange, and the New York Stock Exchange.

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

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Stanley RobbinsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 15, 2017 indicate that Pennsylvania-based Wells Fargo Clearing Services broker/adviser Stanley Robbins is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Robbins (CRD# 4667669).

Stanley Robbins has spent 13 years in the securities industry and has been registered with Wells Fargo Clearing Services in Richboro, Pennsylvania since 2007. Previous registrations include PNC Investments in Philadelphia, Pennsylvania (2005-2007); American Express Financial Advisors in Minneapolis, Minnesota (2003-2005); and IDS Life Insurance Company in Minneapolis, Minnesota (2003-2005). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 25, 2003, and Series 7 (General Securities Representative Examination), which he obtained on September 22, 2003. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Delaware, Florida, Georgia, Missouri, Nevada, New Jersey, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Texas, Virginia and Wisconsin. 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.

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Mitchell WalkPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 14, 2017 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Mitchell Walk has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Walk (CRD# 3195375).

Mitchell Walk has spent 17 years in the securities industry and has been registered with Kestra Investment Services in Longwood, Sarasota and St. Augustine, Florida since 2001. He was previously registered with Securities America in La Vista, Nebraska (2000-2001). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 17, 2005; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 22, 1999; and Series 7 (General Securities Representative Examination), which he obtained on March 14, 2000 He is a registered broker and investment adviser with 28 US states and territories.

According to his BrokerCheck report, he has received one customer complaint, two pending customer complaints, and two customer complaints that were closed or denied.

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Judith BovitzPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 9, 2017 indicate that New York-based Wells Fargo Clearing Services broker/adviser Judith Bovitz is involved in pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Bovitz (CRD# 1333051).

Judith Bovitz has spent 32 years in the securities industry and has been registered with Wells Fargo Clearing Services in Albany, New York and Aiken, South Carolina since 2003. She was previously registered with Prudential Securities in New York, New York (1985-2003). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on March 6, 1993; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on May 4, 1985; and Series 7 (General Securities Representative Examination), which she obtained on February 16, 1985. She is a registered broker and investment adviser with 24 US states and territories: Alabama, California, Connecticut, Florida, Hawaii, Illinois, Indiana, Kentucky, Maryland, Massachusetts, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, and Wyoming. 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 pending customer complaints and one denied customer complaint.

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Jeffrey WilsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on November 9, 2017 indicate that New Mexico-based Wells Fargo Clearing Services broker/adviser Jeffrey Wilson has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wilson (CRD# 1161819).

Jeffrey Wilson has spent 34 years in the securities industry and has been registered with Wells Fargo Clearing Services in Las Cruces, New Mexico since 2014. Previous registrations include Morgan Stanley in Las Cruces, New Mexico (2009-2014); Morgan Stanley & Company in Las Cruces, New Mexico (2007-2009); Merrill Lynch in Las Cruces, New Mexico (1985-2007); and New York Life Securities Corporation (1983-1985). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 2, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 28, 1985; Series 31 (Futures Managed Funds Examination), which he obtained on July 29, 1993; Series 7 (General Securities Representative Examination), which he obtained on September 21, 1985; Series 22 (Direct Participation Programs Representative Examination), which he obtained on October 6, 1984; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 1, 1983. He is a registered broker and investment adviser with 18 US states and territories: Alaska, Arizona, Arkansas, California, Colorado, Florida, Idaho, Indiana, Michigan, Nebraska, New Mexico, New York, Oklahoma, Oregon, Texas, Utah and Wisconsin.

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

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Ricardo GuimaraesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 6, 2017 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Ricardo Guimaraes is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Guimaraes (CRD# 5442981).

Ricardo Guimares has spent nine years in the securities industry and has been registered with Wells Fargo Clearing Services in Miami, Florida since October 2015. Previous registrations include UBS Financial Services in Miami, Florida (2010-2015) and UBS International in New York, New York (2007-2010). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 22, 2008, and Series 7 (General Securities Representative Examination), which he obtained on November 13, 2007. He is a registered broker and investment adviser with five US states (California, Delaware, Florida, Illinois, and Kentucky) and 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.