Articles Tagged with Orlando Florida Stockbroker Misconduct Lawyer

Ane S. Plate, a former registered representative with Orlando, Florida based Wells Fargo Advisors Financial Network, LLC (Wells Fargo), consented to, but did not admit to or deny, the sanction and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that she effected 15 unauthorized trades from a customer’s Wells Fargo account, and converted the proceeds of those unauthorized trades for her personal use and benefit. Continue Reading