Current and Former Wells Fargo Brokers with Significant Disclosure Histories
by Admin Istrator | January 18, 2023 10:14 pm
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?”[1] 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
| Name | Location | Disclosure History |
| Evan Wuhl | Paramus, NJ | Twelve customer settlements; resigned from UBS following allegation of wrongdoing |
| Jeff Eiler | Fort Lauderdale, FL | Eight customer settlements; criminal disclosure |
| John Draper | Irvine, CA | Eleven customer complaints, including five settlements |
| Michael Cifelli | Philadelphia, PA | Ten customer complaints, including five settlements |
| Thomas McIntyre, Jr. | Danbury, CT | Eleven customer complaints, including nine settlements |
| George Dance | Biloxi, MS | Ten customer complaints, including four settlements |
| Andy Hill | Atwater, CA | Seven customer complaints, including four settlements; termination disclosure |
| Bruce Galpert | Santa Fe, NM | Ten customer complaints, including six settlements |
| Stuart Barth | Gaithersburg, MD | Three customer settlements; six liens or judgments |
| Mark Schlig | Rolling Hills Estates, CA | Seven customer complaints, including six settlements; termination disclosure; criminal disclosure |
| Christopher Cochrane | Appleton, WI | Eight customer complaints, including seven settlements |
| Christopher Fontana | Naples, FL | Nine customer complaints, including four settlements |
| Bill Basler | Fort Myers, FL | Nine customer complaints, including seven settlements |
| Gail Mackler-Carlino | Northfield, NJ | Seven customer complaints, including five settlements |
| Thomas Bradley | Saginaw, MI | Five customer complaints, including two settlements; three liens or judgments |
| RJ Bernstein | Incline Village, NV | Eight customer complaints, including two awards and four settlements |
| William Link, Jr. | Edmond, OK | Seven customer complaints, including two awards and five settlements; termination disclosure |
| Jennifer L. Garcia | Encino, CA | Eight customer complaints, including four settlements |
| David White | South Lake, TX | Eight customer complaints, including six settlements |
| Mary Hansen | Palm Desert, CA | Eight customer complaints, including one award and five settlements |
| Pasquale Capone | Woodbury, NY | Eight customer complaints, including six settlements |
| Anne Davidson | Dallas, Texas | Five customer complaints, including two settlements and two awards; regulatory disclosure; two employment disclosures |
| Andrew Harmer | Chester, PA | Seven customer complaints, including two settlements and one award |
| Linda Lynch | Melville, NY | Seven settlements |
| Bruce Rudenberg | Miami, FL | Seven customer complaints, including four settlements and one award |
| Joseph Vieira | Coral Springs, FL | Four customer complaints, including three settlements; three criminal disclosures |
| Kevin Fay | Fairfield, NJ | Six customer complaints, including three settlements; termination disclosure from Morgan Stanley |
| Leif Olson | Sarasota, FL | Seven customer complaints, including four settlements |
| Steven O’Brien | Oak Brook, IL | Three settlements; four liens or judgments |
| Joseph Murphy | Woodbury, NY | Seven customer complaints, including two awards and four settlements |
| Stephen Freidin | Lake Forest, IL | Seven customer complaints, including two settlements |
| Todd Schmucker | Salt Lake City, UT | Seven customer complaints, including one award and three settlements |
| Ryan Robinson | Encino, CA | Six customer complaints, including two settlements; regulatory disclosure |
| Michael Peters | San Francisco, CA | Six customer complaints, including five settlements |
| Steven Wetzel | Birmingham, AL | Seven customer complaints, including five settlements |
| William Turnbough | Frontenac, MO | Four settlements; two criminal disclosures; one regulatory disclosure |
| James Pringle | Indian Harbour, FL | Six customer complaints, including two settlements; regulatory disclosure |
| Bob Barnard | Park City, UT | Seven settlements |
| David Nelson | Woodbury, NY | Seven customer complaints, including six settlements |
| Alan Durlester | Woodland Hills, CA | Six customer complaints, including four settlements and one award; regulatory disclosure |
| Kenneth Harb | Farmington Hills, MI | Seven customer complaints, including five settlements and one award |
| Dominic Guido | New York, NY | Seven customer complaints, including four settlements and one award |
| Jeff Burton | Charleston, SC | Five settlements; employment disclosure |
| Curtis Rach | Irvine, CA | Six customer complaints, including three settlements |
| Nicholas Boccella | Chatham, NJ | Five customer complaints, including four settlements and one award; regulatory disclosure |
| Glenn Fama | San Francisco, CA | Six customer complaints, including five settlements and one award |
| Barry Sullivan | Rochester, NY | Six customer complaints, including four settlements |
| Brian Keach | Roswell, GA | Five customer complaints, including two settlements, regulatory disclosure |
2022 Hires with Significant Disclosure Histories
| Name | Location | Old Firm | Date Hired |
| Jerome Vandemotter | Pepper Pike, OH | UBS Financial | 11/28/2022 |
| Brian Graber | Marietta, GA | Merrill Lynch | 11/22/2022 |
| Howard Lee | Westlake Village, CA | Morgan Stanley | 11/16/2022 |
| Evan Savarick | Plantation, FL | Morgan Stanley | 9/23/2022 |
| Roy Savarick | Fort Lauderdale, FL | Morgan Stanley | 9/22/2022 |
| Chris Coghlan | Corte Madera, CA | Morgan Stanley | 9/16/2022 |
| David Roy | McLean, VA | UBS Financial | 8/2/2022 |
| Andy Tempelis | Seattle, WA | Merrill Lynch | 7/21/2022 |
| David Ferman | New York, NY | Morgan Stanley | 7/11/2022 |
| Allen Lovejoy | Old Greenwich, CT | Merrill Lynch | 7/7/2022 |
| Jeffrey Roumfort | Houston, TX | Merrill Lynch | 5/19/2022 |
| Mark Morena | Canton, OH | Morgan Stanley | 5/17/2022 |
| Bryan Schon | Birmingham, MI | Morgan Stanley | 4/28/2022 |
| Michael Dymkowski | Bloomfield Hills, MI | Morgan Stanley | 4/28/2022 |
| Michael Margiotta | Beverly Hills, CA | Merrill Lynch | 4/21/2022 |
| Richard Gurchak | Farmington Hills, MI | Morgan Stanley | 1/13/2022 |
Departed Wells Fargo with Significant Disclosure Histories
| Name | Location | Last Registered | Current Firm |
| John Wright | Macon, GA | 12/7/2022 | Not Registered |
| Frank Lazar | Dublin, OH | 12/5/2022 | Morgan Stanley |
| Philip Dunn | Old Greenwich, CT | 11/17/2022 | Not Registered |
| Gregg T. Emanuel | Westfield, NJ | 11/10/2022 | Not Registered |
| Scott Hanawalt | Palm Beach, FL | 11/8/2022 | Not Registered |
| Richard Dunne | Athens, GA | 9/20/2022 | Not Registered |
| Glen Strauss | Los Angeles, CA | 9/20/2022 | Sanctuary Securities, Inc. |
| Helen Caldwell | Chicago, IL | 9/15/2022 | Not Registered |
| Tiberio Dejulio | Sandy Springs, GA | 9/13/2022 | Not Registered |
| Mike Bogoslawsky | Alpharetta, GA | 9/8/2022 | Not Registered |
| Marla Harvey-Guin | San Diego, CA | 9/7/2022 | Not Registered |
| Thomas Morgan | Naples, FL | 8/30/2022 | Moran Wealth Management, LLC |
| Kyle Ridenour | Oklahoma City, OK | 8/29/2022 | BOK Financial Securities |
| Bradley Huffman | San Diego, CA | 8/4/2022 | Not Registered |
| Kevin Lee Dyerly | San Diego, CA | 8/4/2022 | Not Registered |
| Jeff Carpenter | Des Moines, IA | 7/14/2022 | Not Registered |
| John Hooker | Danbury, CT | 7/5/2022 | Not Registered |
| Keith Dunn | Palm Harbor, FL | 6/24/2022 | Johnson Dunn Capital Advisors, Inc. |
| Robert Heckler | Boca Raton, FL | 6/3/2022 | Not Registered |
| Jesse Bunich | Seattle, WA | 5/4/2022 | RBC Capital Markets |
| Jesse Bunich | Seattle, WA | 5/4/2022 | RBC Capital Markets |
| Mark Sewalson | Overland Park, KS | 4/13/2022 | Axxcess Wealth Management |
| Mark Hoffman | Jacksonville, FL | 4/8/2022 | Not Registered |
| Gregory Bowman | Eugene, OR | 4/6/2022 | Not Registered |
| Marc Daner | Alpharetta, GA | 3/23/2022 | Daner Wealth Management, LLC |
| John Ferguson | Monroeville, PA | 3/14/2022 | Raymond James |
| Troy Hill | Fayetteville, NC | 3/10/2022 | Capital Investment Group, Inc. |
| Bob Sullivan | Hyannis, MA | 3/8/2022 | Stifel Nicolas |
| Bryan Werleman | Newport Beach, CA | 3/7/2022 | Werlmann Wealth Management |
| Jeffrey Kratz | Fort Worth, TX | 3/7/2022 | Not Registered |
| James Eller | San Antonio, TX | 2/15/2022 | LPL Financial |
| Stephen Ross | Raleigh, NC | 1/26/2022 | Tradewinds, LLC |
| Tomm Hudson | Corte Madera, CA | 1/18/2022 | Not Registered |
| Louise Elizabeth Ladd-Whitson | Las Vegas, NV | 1/14/2022 | Not Registered |
| Douglas Hodson | Roanoke, VA | 1/13/2022 | Not Registered |
| Robert Player | Garden City, NY | 1/11/2022 | Not Registered |
| Bob Nogrady | Babylon, NY | 1/11/2022 | Not Registered |
Departed Wells Fargo with an Employment Disclosure
| Name | Location | New Firm | Date of Disclosure | Type |
| Kyle Bouman | St. Louis, MO | Not registered | 11/17/2022 | Discharged |
| Mandisa Landry | Charlotte, NC | Not registered | 11/17/2022 | Discharged |
| Colleena Snider | Des Moines, IA | Not registered | 11/9/2022 | Discharged |
| Christy Rodriguez | Whittier, CA | US Bancorp. Investments | 10/13/2022 | Discharged |
| Michael Batmanian | Los Angeles, CA | Not registered | 9/29/2022 | Discharged |
| Raul Hernandez | Tempe, AZ | Bancwest Investment Services, Inc. | 9/7/2022 | Discharged |
| John Clemens | Cleveland, OH | RBC Capital Markets | 9/1/2022 | Voluntary Resignation |
| Iesha Southern | The Woodlands, TX | Not Registered | 9/1/2022 | Discharged |
| Michael Kazacos | Fairport, NY | Stifel, Nicolaus | 8/31/2022 | Discharged |
| Anthony Morrison | Memphis, TN | Stifel, Nicolaus | 8/30/2022 | Discharged |
| Christopher Heckenkamp | Long Beach, CA | Not registered | 8/17/2022 | Discharged |
| Eugene Neal | Daytona Beach, FL | Not registered | 8/5/2022 | Discharged |
| Genci Abdula | Pompton Plains, NJ | Not registered | 8/4/2022 | Discharged |
| John Ranft | Exton, PA | TD Private Client Wealth, LLC | 8/2/2022 | Discharged |
| Salvatore Ruffino | New York, NY | Merrill Lynch | 7/25/2022 | Discharged |
| Alison Mortarotti | Park City, UT | Not registered | 7/18/2022 | Discharged |
| Mohamed Azeez | Hollywood, FL | Not registered | 6/22/2022 | Discharged |
| Eric Hogan | Greenwood Village, CO | Key Investment Services | 6/21/2022 | Discharged |
| Sevag Haddadian | Brea, CA | Not registered | 6/15/2022 | Discharged |
| Mark Forktus | Newtown, PA | Prospera Financial Services, Inc. | 6/1/2022 | Discharged |
| Kari Brown | Lakeland, FL | Not registered | 6/1/2022 | Discharged |
| Joseph Starnes | Lavista, NE | Securities America, Inc. | 5/25/2022 | Discharged |
| Gregory Prime | New York, NY | Not registered | 5/23/2022 | Discharged |
| ALICE BRATTAIN SHAGLEY | Terra Haute, IN | Woodbury Financial | 5/13/2022 | Discharged |
| Jenna Marie Farah-Fimbres | Mesa, AZ | Not registered | 4/29/2022 | Voluntary Resignation |
| Stefanie Hurkala | Hamilton Square, NJ | Not registered | 4/28/2022 | Discharged |
| Alexander Newman | Temecula, CA | Grape Modern Wealth Management | 4/27/2022 | Voluntary Resignation |
| Alexander Prisk | Duluth, MN | Not registered | 4/13/2022 | Discharged |
| Michael Bentley | Phoenix, AZ | Sagepoint Financial, Inc. | 4/12/2022 | Discharged |
| Robin L. Matthews | Charlotte, NC | Not registered | 3/31/2022 | Discharged |
| Roger Graham | San Antonio, TX | Braintrust Capital, LLC | 2/25/2022 | Discharged |
| Spencer Watson | Upland, CA | Not registered | 2/8/2022 | Discharged |
| Nicholas Drees | Duluth, MN | Not registered | 1/25/2022 | Discharged |
| Shawn Deetz | Clearwater, FL | Not registered | 1/25/2022 | Discharged |
| Erik Bach | Apex, NC | Not registered | 1/4/2022 | Discharged |
| Lisa Idlett | Carteret, NJ | Not registered | 1/4/2022 | Discharged |
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.
Questions?
Endnotes:
- “How Widespread and Predictable is Stock Broker Misconduct?”: https://www.slcg.com/files/research-papers/McCann%20Qin%20and%20Yan%20on%20BrokerCheck%20Final.pdf
- Download: https://mdf-law.com/wp-content/uploads/2023/01/Using-AI-to-Predict-Future-Customer-Disputes-Wells-Fargo.pdf
Source URL: https://mdf-law.com/wells-fargo-complaints/