DID BARTHOLOMEW SWEENEY IV CAUSE YOU INVESTMENT LOSSES?
Bartholomew Sweeney IV Formerly With Wells Fargo Clearing Services, LLC was terminated on May 9, 2024, due to allegations including the use of discretion in a client account without proper authorization
Who is Bartholomew Sweeney IV formerly with Wells Fargo Clearing Services, LLC?
Bartholomew Sweeney IV (CRD #1703445) who was formerly registered as a broker with Wells Fargo Clearing Services, LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Bartholomew Sweeney IV Employment History
Bartholomew Sweeney IV has extensive experience in the securities industry, having worked for multiple firms over a long career. He was registered with Wells Fargo Clearing Services, LLC from June 2010 until his termination in June 2024. Prior to that, he worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated from 2006 to 2010, Advest, Inc. from 2000 to 2006, Prudential Securities Incorporated from 1994 to 2000, and Smith Barney Inc. from 1988 to 1994.
Throughout his career, Sweeney passed two principal/supervisory exams, three general industry/product exams, including the Series 7 General Securities Representative Examination, and one multi-state securities law exam.
His employment with Wells Fargo was terminated in May 2024 due to allegations including the use of discretion in a client account without proper authorization, failure to escalate a client’s operational complaint, and engaging in business-related communications via non-firm-approved communication channels. Sweeney is currently not registered with any firm.
Bartholomew Sweeney IV Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Bartholomew Sweeney IV is a red flag which should put all current and former customers of Bartholomew Sweeney IV at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Bartholomew Sweeney IV engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Bartholomew Sweeney IV
If you have questions about Wells Fargo Clearing Services, LLC and/or Bartholomew Sweeney IV and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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