Current and Former Wells Fargo Brokers with Significant Disclosure Histories
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 […]
William Notrica Fired by RBC Over Trading Violations
Aegis Capital broker/adviser William Notrica (CRD# 817537) was recently discharged by RBC Capital Markets over alleged rule violations. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on March 24, 2022, he is based in Newport Beach, California. William Notrica Violated RBC’s Internal Trading Policy RBC Capital Markets fired Mr. Notrica in January […]
IRS Hires Additional 200 Attorneys to Prosecute Syndicated Conservation Easement Investors
On January 21, 2022, the IRS posted an announcement that it was seeking to hire up to 200 attorneys to prosecute fraudulent syndicated conservation easement, or SCET, deals. The IRS’s announcement comes after a series of aggressive actions by attorneys at the U.S. Department of Justice. These actions include the high-profile indictments of CPAs. In […]