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FINRA Expungement Award Against Wells Fargo

We are pleased to share the news of a recent triumph by David Harrison, in sucessfully secured a FINRA Award for a broker-dealer registered representative expunging a CRD Disclosure filed by Wells Fargo Clearing Services, LLC.

Wells Fargo Clearing Services, LLC terminated the broker because a Wells Fargo Bank customer opened and then promptly closed a savings account. This termination had significant implications for the broker’s career and reputation because the broker was unable to obtain employment as a registered representative.

David Harrison has a deep understanding of FINRA rules and procedures and stepped in to represent the broker. His dedication and expertise led to a successful outcome, with the broker receiving an expungement FINRA Award.

This achievement underscores our firm’s commitment to protecting the rights and reputations of brokers. It demonstrates our ability to navigate complex legal landscapes and achieve positive results for our clients.

If you’re a broker dealing with similar issues, we warmly welcome you to reach out to us for a consultation.