DID HANTZ DON SERRAO CAUSE YOU INVESTMENT LOSSES?
Hantz Serrao Formerly With Wells Fargo Clearing Services, LLC was recently fired, following internal reviews into his compliance with company policies.
Who is Hantz Serrao formerly with Wells Fargo Clearing Services, LLC?
Hantz Serrao (CRD #4006555) who was formerly registered as a broker with Wells Fargo Clearing Services, LLC and located in Sarasota, Florida, 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.
Hantz Serrao Employment History and Termination
Hantz Don Serrao has a financial career spanning over two decades, including roles at Wells Fargo Clearing Services, LLC (2016–2024), Morgan Stanley (2012–2016), and Grigsby & Associates, Inc. (2010–2012). Serrao held the Certified Financial Planner designation and had extensive experience in securities and investment advisory roles.
He has passed two general industry/product exams and two multi-state securities law exams but has no principal or supervisory certifications.
His tenure at Wells Fargo Clearing Services, LLC ended with termination on September 23, 2024. The termination stemmed from an internal review that concluded he had used another employee’s login credentials and sent business-related communications through a personal email account.
Negative Disclosure
- Employment Termination:
- Date: September 23, 2024
- Information: Hantz Don Serrao was discharged from Wells Fargo Clearing Services, LLC after an internal review revealed he used another employee’s login credentials and conducted business communications via personal email, which violated corporate policies.
Hantz Serrao 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 Hantz Serrao is a red flag which should put all current and former customers of Hantz Serrao at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Hantz Serrao 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 Hantz Serrao
If you have questions about Wells Fargo Clearing Services, LLCand/or Hantz Serrao 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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