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Discipline: Stephen Wilson (Prudential, Wachovia) Barred for Unsuitable Recommendations and Unauthorized Trading

The Financial Industry Regulatory Authority (FINRA) has barred broker Stephen W. Wilson (formerly of Prudential Securities, Inc. and Wachovia Securities, LLC) for fraud violation, recommending unsuitable transactions and engaging in unauthorized trading.

On June 19, 2009, the FINRA Department of Enforcement filed its first complaint against Wilson, who entered the securities industry in 1992 and was registered with Wachovia from August 1999 until April 2005, alleging misrepresentation and unsuitable recommendations, failure to inform customers the full nature of their investments.

Wilson was also alleged to have caused his Firm's books and records to be inaccurate by falsely and fraudulently manipulating numbers and misreporting facts.

If you were victimized by Mr. Wilson's illicit or fraudulent practices in violation of FINRA regulations, please call The Law Offices of Jonathan W. Evans & Associates for an investigation and consultation.

News: Stephen W. Wilson barred for Fraudulent Misrepresentations and Ommissions

Categories: Securities Fraud
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.