Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former New York-based Wells Fargo Clearing Services broker/adviser Herbert Hafen has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hafen (CRD# 867068).
Herbert Hafen has spent 39 years in the securities industry and was most recently registered with Wells Fargo Clearing Services in New York, New York (2018). Previous registrations include Morgan Stanley in New York, New York (2009-2018); Morgan Stanley & Company in New York, New York (2008-2009); Bear Stearns & Company in New York, New York (1990-2008); Bateman Eichler Hill Richards (1982-1990); Consolidated Capital Securities Corporation (1983-1984); Sutro & Company (1979-1982); and Merrill Lynch (1979). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 15, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 6, 1980; SIE (Securities Industry Essentials Examination), which he obtained on September 13, 2018; Series 3 (National Commodity Futures Examination), which he obtained on June 30, 2004; Series 7 (General Securities Representative Examination), which he obtained on May 19, 1979; and Series 4 (Registered Options Principal Examination), which he obtained on June 10, 1981. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one pending customer complaint and was recently discharged from his former employer in connection to alleged rule violations.