Tag: Unauthorized Trading

Compel FINRA arbitration by non-customer
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Broker Didn’t Know His Client Died

A Wells Fargo broker who traded a client’s account after he died was fired and sanctioned by seclaw.com/glossary/finra/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA. According to FINRA, the broker was terminated from Wells Fargo “after internal review revealed that advisor entered stop loss orders in account of deceased customer, per prior discussion, not knowing client was […]