Articles Tagged with Alejandro Torres

Published on:

Alejandro Torres of Hollywood, Florida submitted a Letter of Acceptance Waiver and Consent (AWC) to The Department of Enforcement of the Financial Industry Regulatory Authority for allegedly converting client funds, engaging in unapproved outside business activities and submitting material false information on a questionnaire to his broker dealer.

Torres entered the securities industry in 2009 and has been associated with several FINRA-regulated broker-dealers since. In January 2013, Torres became associated with FINRA-regulated broker-dealer Wells Fargo Advisors, LLC (Wells Fargo) as a registered representative.  On January 17, 2014 Torres was terminated as Wells Fargo filed a Uniform Termination notice for Securities Industry Registration (Form U5).

Continue reading →