Current and Former Wells Fargo Brokers with Significant Disclosure Histories

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MDF Law releases a report identifying current and former associated persons from Wells Fargo Advisors who have significant disclosure histories.  The report analyzed data as of January 3, 2023. Individuals who are included in this report are statistically more likely to be involved in a new customer complaint. See “How Widespread and Predictable is Stock Broker Misconduct?” by Dr. Craig McCann, et. al., Securities Litigation & Consulting Group (2016).

The contents of the report are subject to BrokerCheck’s terms and conditions as well as the MDF Law’s disclaimer. All errors in the report or this press release, should be promptly reported to MDF Law by contacting the firm below. If you were or still are a client of Wells Fargo and want to discuss concerns with your account, feel free to call our law firm at 800-767-8040. You can also complete the form below.

Individuals Currently Associated with Wells Fargo with Significant Disclosure Histories

NameLocationDisclosure History
Evan WuhlParamus, NJTwelve customer settlements; resigned from UBS following allegation of wrongdoing
Jeff EilerFort Lauderdale, FLEight customer settlements; criminal disclosure
John DraperIrvine, CAEleven customer complaints, including five settlements
Michael CifelliPhiladelphia, PATen customer complaints, including five settlements
Thomas McIntyre, Jr.Danbury, CTEleven customer complaints, including nine settlements
George DanceBiloxi, MSTen customer complaints, including four settlements
Andy HillAtwater, CASeven customer complaints, including four settlements; termination disclosure
Bruce GalpertSanta Fe, NMTen customer complaints, including six settlements
Stuart BarthGaithersburg, MDThree customer settlements; six liens or judgments
Mark SchligRolling Hills Estates, CASeven customer complaints, including six settlements; termination disclosure; criminal disclosure
Christopher CochraneAppleton, WIEight customer complaints, including seven settlements
Christopher FontanaNaples, FLNine customer complaints, including four settlements
Bill BaslerFort Myers, FLNine customer complaints, including seven settlements
Gail Mackler-CarlinoNorthfield, NJSeven customer complaints, including five settlements
Thomas BradleySaginaw, MIFive customer complaints, including two settlements; three liens or judgments
RJ BernsteinIncline Village, NVEight customer complaints, including two awards and four settlements
William Link, Jr.Edmond, OKSeven customer complaints, including two awards and five settlements; termination disclosure
Jennifer L. GarciaEncino, CAEight customer complaints, including four settlements
David WhiteSouth Lake, TXEight customer complaints, including six settlements
Mary HansenPalm Desert, CAEight customer complaints, including one award and five settlements
Pasquale CaponeWoodbury, NYEight customer complaints, including six settlements
Anne DavidsonDallas, TexasFive customer complaints, including two settlements and two awards; regulatory disclosure; two employment disclosures
Andrew HarmerChester, PASeven customer complaints, including two settlements and one award
Linda LynchMelville, NYSeven settlements
Bruce RudenbergMiami, FLSeven customer complaints, including four settlements and one award
Joseph VieiraCoral Springs, FLFour customer complaints, including three settlements; three criminal disclosures
Kevin FayFairfield, NJSix customer complaints, including three settlements; termination disclosure from Morgan Stanley
Leif OlsonSarasota, FLSeven customer complaints, including four settlements
Steven O’BrienOak Brook, ILThree settlements; four liens or judgments
Joseph MurphyWoodbury, NYSeven customer complaints, including two awards and four settlements
Stephen FreidinLake Forest, ILSeven customer complaints, including two settlements 
Todd SchmuckerSalt Lake City, UTSeven customer complaints, including one award and three settlements
Ryan RobinsonEncino, CASix customer complaints, including two settlements; regulatory disclosure
Michael PetersSan Francisco, CASix customer complaints, including five settlements
Steven WetzelBirmingham, ALSeven customer complaints, including five settlements
William TurnboughFrontenac, MOFour settlements; two criminal disclosures; one regulatory disclosure
James PringleIndian Harbour, FLSix customer complaints, including two settlements; regulatory disclosure
Bob BarnardPark City, UTSeven settlements
David NelsonWoodbury, NYSeven customer complaints, including six settlements
Alan DurlesterWoodland Hills, CASix customer complaints, including four settlements and one award; regulatory disclosure
Kenneth HarbFarmington Hills, MISeven customer complaints, including five settlements and one award
Dominic GuidoNew York, NYSeven customer complaints, including four settlements and one award
Jeff BurtonCharleston, SCFive settlements; employment disclosure
Curtis RachIrvine, CASix customer complaints, including three settlements
Nicholas BoccellaChatham, NJFive customer complaints, including four settlements and one award; regulatory disclosure
Glenn FamaSan Francisco, CASix customer complaints, including five settlements and one award
Barry SullivanRochester, NYSix customer complaints, including four settlements 
Brian KeachRoswell, GAFive customer complaints, including two settlements, regulatory disclosure

2022 Hires with Significant Disclosure Histories

NameLocationOld FirmDate Hired
Jerome VandemotterPepper Pike, OHUBS Financial11/28/2022
Brian GraberMarietta, GAMerrill Lynch11/22/2022
Howard LeeWestlake Village, CAMorgan Stanley11/16/2022
Evan SavarickPlantation, FLMorgan Stanley9/23/2022
Roy SavarickFort Lauderdale, FLMorgan Stanley9/22/2022
Chris CoghlanCorte Madera, CAMorgan Stanley9/16/2022
David RoyMcLean, VAUBS Financial8/2/2022
Andy TempelisSeattle, WAMerrill Lynch7/21/2022
David FermanNew York, NYMorgan Stanley7/11/2022
Allen LovejoyOld Greenwich, CTMerrill Lynch7/7/2022
Jeffrey RoumfortHouston, TXMerrill Lynch5/19/2022
Mark MorenaCanton, OHMorgan Stanley5/17/2022
Bryan SchonBirmingham, MIMorgan Stanley4/28/2022
Michael DymkowskiBloomfield Hills, MIMorgan Stanley4/28/2022
Michael MargiottaBeverly Hills, CAMerrill Lynch4/21/2022
Richard GurchakFarmington Hills, MIMorgan Stanley1/13/2022

Departed Wells Fargo with Significant Disclosure Histories

NameLocationLast RegisteredCurrent Firm
John WrightMacon, GA12/7/2022Not Registered
Frank LazarDublin, OH12/5/2022Morgan Stanley
Philip DunnOld Greenwich, CT11/17/2022Not Registered
Gregg T. EmanuelWestfield, NJ11/10/2022Not Registered
Scott HanawaltPalm Beach, FL11/8/2022Not Registered
Richard DunneAthens, GA9/20/2022Not Registered
Glen StraussLos Angeles, CA9/20/2022Sanctuary Securities, Inc.
Helen CaldwellChicago, IL9/15/2022Not Registered
Tiberio DejulioSandy Springs, GA9/13/2022Not Registered
Mike BogoslawskyAlpharetta, GA9/8/2022Not Registered
Marla Harvey-GuinSan Diego, CA9/7/2022Not Registered
Thomas MorganNaples, FL8/30/2022Moran Wealth Management, LLC
Kyle RidenourOklahoma City, OK8/29/2022BOK Financial Securities
Bradley HuffmanSan Diego, CA8/4/2022Not Registered
Kevin Lee DyerlySan Diego, CA8/4/2022Not Registered
Jeff CarpenterDes Moines, IA7/14/2022Not Registered
John HookerDanbury, CT7/5/2022Not Registered
Keith DunnPalm Harbor, FL6/24/2022Johnson Dunn Capital Advisors, Inc.
Robert HecklerBoca Raton, FL6/3/2022Not Registered
Jesse BunichSeattle, WA5/4/2022RBC Capital Markets
Jesse BunichSeattle, WA5/4/2022RBC Capital Markets
Mark SewalsonOverland Park, KS4/13/2022Axxcess Wealth Management
Mark HoffmanJacksonville, FL4/8/2022Not Registered
Gregory BowmanEugene, OR4/6/2022Not Registered
Marc DanerAlpharetta, GA3/23/2022Daner Wealth Management, LLC
John FergusonMonroeville, PA3/14/2022Raymond James
Troy HillFayetteville, NC3/10/2022Capital Investment Group, Inc.
Bob SullivanHyannis, MA3/8/2022Stifel Nicolas
Bryan WerlemanNewport Beach, CA3/7/2022Werlmann Wealth Management
Jeffrey KratzFort Worth, TX3/7/2022Not Registered
James EllerSan Antonio, TX2/15/2022LPL Financial
Stephen RossRaleigh, NC1/26/2022Tradewinds, LLC
Tomm HudsonCorte Madera, CA1/18/2022Not Registered
Louise Elizabeth Ladd-WhitsonLas Vegas, NV1/14/2022Not Registered
Douglas HodsonRoanoke, VA1/13/2022Not Registered
Robert PlayerGarden City, NY1/11/2022Not Registered
Bob NogradyBabylon, NY1/11/2022Not Registered

Departed Wells Fargo with an Employment Disclosure

NameLocationNew FirmDate of DisclosureType
Kyle BoumanSt. Louis, MONot registered11/17/2022Discharged
Mandisa LandryCharlotte, NCNot registered11/17/2022Discharged
Colleena SniderDes Moines, IANot registered11/9/2022Discharged
Christy RodriguezWhittier, CAUS Bancorp. Investments10/13/2022Discharged
Michael BatmanianLos Angeles, CANot registered9/29/2022Discharged
Raul HernandezTempe, AZBancwest Investment Services, Inc.9/7/2022Discharged
John ClemensCleveland, OHRBC Capital Markets9/1/2022Voluntary Resignation
Iesha SouthernThe Woodlands, TXNot Registered9/1/2022Discharged
Michael KazacosFairport, NYStifel, Nicolaus8/31/2022Discharged
Anthony MorrisonMemphis, TNStifel, Nicolaus8/30/2022Discharged
Christopher HeckenkampLong Beach, CANot registered8/17/2022Discharged
Eugene NealDaytona Beach, FLNot registered8/5/2022Discharged
Genci AbdulaPompton Plains, NJNot registered8/4/2022Discharged
John RanftExton, PATD Private Client Wealth, LLC8/2/2022Discharged
Salvatore RuffinoNew York, NYMerrill Lynch7/25/2022Discharged
Alison MortarottiPark City, UTNot registered7/18/2022Discharged
Mohamed AzeezHollywood, FLNot registered6/22/2022Discharged
Eric HoganGreenwood Village, COKey Investment Services6/21/2022Discharged
Sevag HaddadianBrea, CANot registered6/15/2022Discharged
Mark ForktusNewtown, PAProspera Financial Services, Inc.6/1/2022Discharged
Kari BrownLakeland, FLNot registered6/1/2022Discharged
Joseph StarnesLavista, NESecurities America, Inc.5/25/2022Discharged
Gregory PrimeNew York, NYNot registered5/23/2022Discharged
ALICE BRATTAIN SHAGLEYTerra Haute, INWoodbury Financial5/13/2022Discharged
Jenna Marie Farah-FimbresMesa, AZNot registered4/29/2022Voluntary Resignation
Stefanie HurkalaHamilton Square, NJNot registered4/28/2022Discharged
Alexander NewmanTemecula, CAGrape Modern Wealth Management4/27/2022Voluntary Resignation
Alexander PriskDuluth, MNNot registered4/13/2022Discharged
Michael BentleyPhoenix, AZSagepoint Financial, Inc.4/12/2022Discharged
Robin L. MatthewsCharlotte, NCNot registered3/31/2022Discharged
Roger GrahamSan Antonio, TXBraintrust Capital, LLC2/25/2022Discharged
Spencer WatsonUpland, CANot registered2/8/2022Discharged
Nicholas DreesDuluth, MNNot registered1/25/2022Discharged
Shawn DeetzClearwater, FLNot registered1/25/2022Discharged
Erik BachApex, NCNot registered1/4/2022Discharged
Lisa IdlettCarteret, NJNot registered1/4/2022Discharged

Full January 2023 Report

Disclaimer

The report should not be misconstrued as a rating or grading system, nor
should the reader draw any other conclusions from this report. Specifically, readers should be
aware that individuals listed in this report may never be involved in a future customer dispute
or other disclosure event.

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