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Articles Tagged with Wells Fargo Advisors

News reports and public records published by the Financial Industry Regulatory Authority (FINRA), accessed on January 4, 2019, indicate that forgery and other charges have been filed against former Ohio-based Wells Fargo Advisors broker/adviser John Schmidt, who has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 13, 2018 indicate that former Tennessee-based Wells Fargo Advisors broker/adviser David Strnad, who is currently not affiliated with any broker-dealer firm, was recently named in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in speaking to investors […]

Publicly available records published by the Securities and Exchange Commission (SEC) and accessed on June 28, 2018, as well as contemporaneous news reports, indicate that the SEC has fined Wells Fargo Advisors in connection to alleged misconduct “in the sale of financial products known as market-linked investments, or MLIs, to retail investors.” Fitapelli Kurta is […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 23, 2018 indicate that former Illinois-based Wells Fargo Advisors broker/adviser David Beutler has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2017 indicate that former New York-based Wells Fargo Advisors broker/adviser Donald DeVito has received several resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2017 indicate that former Ohio-based Wells Fargo Advisors broker/adviser John Dettelbach has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dettelbach (CRD# 66366). John Dettelbach has […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 26, 2017 indicate that former New Jersey-based Wells Fargo Advisors broker Jeffrey Grayson has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Grayson (CRD# […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on May 20, 2017 indicate that former Virginia-based Wells Fargo Advisors broker/adviser Anna Murphy has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Murphy (CRD# 5440842). Anna Murphy […]

Public records published by the Financial Industry Regulatory Authority (FINRA) on February 23, 2017 indicate that former Illinois-based Wells Fargo Advisors broker Matthew Maczko has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 4, 2016 indicate that former New Hampshire-based Wells Fargo Advisors broker Sven Karlen is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Karlen […]

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