FINRA Suspends Former LPL Advisor for $920K Promissory Note Fraud Against Retirees
On Wall Street, trust is the only currency that matters. When a broker abuses that trust to line his own pockets, the damage extends far ...
FINRA Bars Former Wells Fargo Broker Marcus Delgado for Excessive Trading in Retirement Accounts
FINRA permanently barred Marcus Delgado for unauthorized trading across 18 retirement accounts at Wells Fargo, causing $3.8M in client losses while generating $487K in commissions.
Former Wells Fargo Broker Barred for Excessive Trading in Retirement Accounts
FINRA permanently barred a former Wells Fargo broker for churning elderly clients' retirement accounts, causing $890,000 in losses while generating $312,000 in commissions.
