Articles Tagged with Wells Fargo Advisors

Mike FrewNews reports and publicly available records provided by the Financial Industry Regulatory Authority (FINRA), accessed on August 9, 2018, indicate that former Wells Fargo Advisors broker/adviser Mike Frew, who has been sanctioned by FINRA and barred from acting as a broker, was recently arrested in connection with an alleged Ponzi scheme. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Frew (CRD# 812805).

Mike Frew has spent 38 years in the securities industry and was most recently registered with Wells Fargo Advisors in San Francisco, California (2003-2014). Previous registrations include Prudential Securities in New York, New York (1988-2003); Shearson Lehman Hutton (1988); and EF Hutton & Company (1975-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 24, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 24, 1981; PC (AMEX Put and Call Exam), which he obtained on August 31, 1977; and Series 7 (General Securities Representative Examination), which he obtained on September 20, 1975. He is currently not registered with any state or firm.

According to his BrokerCheck report, Mike Frew has received nine customer complaints and two regulatory sanctions.

Steven RichardsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 1, 2017 indicate that former New Jersey-based Wells Fargo Advisors broker/adviser Steven Richardson has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Richardson (CRD# 1074713).

Steven Richardson has spent 33 years in the securities industry and was most recently registered with Wells Fargo Advisors in Westfield, New Jersey (1999-2016). Previous registrations include First Union Capital Markets in Charlotte, North Carolina (1991-1999); Butcher & Singer (1990-1991); Smith Barney Harris Upham & Company in New York, New York (1989-1990); Drexel Burnham Lambert (1985-1989); Bevill Bresler & Schulman (1983-1985); and Hanauer Stern & Company (1982-1983). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 10, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 25, 1983; and Series 7 (General Securities Representative Examination), which he obtained on November 20, 1982. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints and two pending customer complaints.

Marco Fragnito

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 2, 2017 indicate that California-based Wells Fargo Advisors Financial Network broker/adviser Marco Fragnito has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fragnito (CRD# 2438311).

Marco Fragnito has spent 23 years in the securities industry and has been registered with Wells Fargo Advisors Financial Network in Laguna Hills, California since 2010. Previous registrations include Raymond James & Associates in Newport Beach, California; Wachovia Securities in Anaheim, California; and Salomon Smith Barney in New York, New York. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with fourteen US states and territories: California, Connecticut, Florida, Illinois, Louisiana, Missouri, Nevada, New Jersey, New York, North Carolina, Oklahoma, South Carolina, Texas and Virginia.

According to his BrokerCheck report, Marco Fragnito has received one customer complaint and two unsatisfied tax liens.