Attorney Blog Entries from February 2020

Wells Fargo Advisors and Wells Fargo Clearing Services will pay $35 million in fines for failing to ...

FINRA barred ex-Independent Financial Group (San Diego) broker Martin David Batstone for using ...

Citing a pattern of misconduct involving misuse of investor monies, FINRA barred Commonwealth ...

FINRA fined Wells Fargo Advisors for failing to reasonably supervise a representative who ...

Former Ameriprise Financial Services broker Li-Lin Hsu of Southern California received 136 months in ...

When FINRA suspended former Berthel Fisher broker Mason Gann over a risky options-trading strategy ...