Wells Fargo Advisors

Jeffrey Howard Palish has been barred from the securities brokerage industry by the Financial Industry Regulatory Authority after a regulatory investigation led to findings that Palish “converted more than $180,000 from his member firm’s elderly customer, by receiving the money from the customer for his personal use and accepting the…

The Financial Industry Regulatory Authority (FINRA) recently barred former stock broker Edward O. Daniel of Fort Worth, Texas from the securities brokerage industry after Daniel refused to cooperate with the self-regulator’s investigation into allegations that he made unsuitable investment recommendations. Daniel has a lengthy record of customer disputes involving allegations that he recommended…

Stock broker Shane Gavin Springman of Portage, Michigan was recently discharged from his position with Wells Fargo Advisors after the firm discovered that he had taken loans from two customers in violation of firm policy and securities regulations. One of the customers recently filed a complaint against Springman after he…

Investor attorneys at Mika Meyers, PLC are currently investigating former stock broker J. Bradford Leonard of Dayton, Ohio, who is currently involved in a customer dispute involving allegations that he made unsuitable investment recommendations which resulted in the customer’s account being unduly concentrated in energy-sector investments. Leonard has previously been involved in five customer…