A FINRA arbitration panel has ordered Wells Fargo Clearing Services and its advisor, Stephen L. Smith, to pay approximately $3.37 million in damages to the estate of Genell Mathis.
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Tony earned his law degree from Gonzaga University School of Law and has practiced law in Arizona for over 30 years. He began his legal career with the Maricopa County Public Defender’s Office as a criminal defense attorney, and then practiced law with the Securities Division of the Arizona Corporation Commission as an Enforcement Attorney. Before attending law school, Tony passed the Series 7 and the Series 63 securities license exams.
Tony focuses much of his practice on representing investors as well as financial advisors and other individuals in investigations and prosecutions by the Securities Division of the Arizona Corporation Commission and by FINRA (Financial Industry Regulatory Authority).
A FINRA arbitration panel has ordered Wells Fargo Clearing Services and its advisor, Stephen L. Smith, to pay approximately $3.37 million in damages to the estate of Genell Mathis.
Bank of America Corp. has entered into a consent order with the Office of the Comptroller of the Currency (OCC) to address deficiencies in its anti-money-laundering (AML) and sanctions compliance programs.
According to AdvisorHub, UBS Wealth Management USA’s broker-dealer has agreed to pay $3.5 million in sanctions over allegations of supervisory failures related to short-term trading of syndicate preferred stock.