A Wells Fargo advisor is gearing up for a fight with FINRA.
The advisor last month appealed FINRAs decision to suspend him for 90 days after the regulators National Adjudicatory Council extended the original 10-day suspension he received from an initial hearing panel. Now, the advisor is appealing his case to the SEC.
Register or login for access to this item and much more
All Bank Investment Consultant content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access