Ex-Wells Fargo broker suspended for coaching client to lie about excessive commissions
Broker accepts eight-month suspension and $10,000 fine after he prepared a 'script' with false information for 72-year-old woman A former Wells Fargo Advisors Financial Network broker who coached an elderly client to respond falsely to the firm when it asked her about his excessive commission charges agreed on Wednesday to an eight-month suspension and a $10,000 fine.
Start the conversation, or Read more at InvestmentNews.
Add your comments below
|Why is Wilmington so backward? (Oct '07)||15 hr||Wilson||189|
|Public health and safety commissioner||18 hr||Al s||4|
|Transparent administration ?||22 hr||Kopeman||5|
|Waz up||22 hr||Scott||1|
|Custer's||23 hr||Rickie Rider||85|
|Hotel||Tue||We Need Change||3|
|Carbon Hill homecoming (Jul '17)||Mon||Manny||3|
Find what you want!
Search Wilmington Forum Now
Copyright © 2018 Topix LLC