DID JEFFREY LANCE HAWLEY CAUSE YOU INVESTMENT LOSSES?
Jeffrey Hawley Formerly With Wells Fargo Clearing Services, LLC was terminated on July 1, 2024, following a review of allegations in improper confirmation of trades.
Who is Jeffrey Hawley formerly with Wells Fargo Clearing Services, LLC?
Jeffrey Hawley (CRD #1131302) who was formerly registered as a broker with Wells Fargo Clearing Services, LLC and located in Monroe, Louisiana, 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.
Jeffrey Hawley Customer Employment History
Jeffrey Lance Hawley has over 40 years of experience in the securities industry. He has worked with five different firms during his career, most recently with Wells Fargo Clearing Services, LLC from January 2008 until his termination in July 2024. Prior to that, he was employed at A.G. Edwards & Sons, Inc., Morgan Stanley DW Inc., Legg Mason Wood Walker, Incorporated, and Howard, Weil, Labouisse, Friedrichs Inc.
Hawley has passed a total of six industry exams, including two principal/supervisory exams, three general industry/product exams, and one multi-state securities law exam. He holds one professional designation as a Personal Financial Specialist. Despite his extensive qualifications, he is not currently registered with any firm.
Allegations Against Jeffrey Hawley
Jeffrey Lance Hawley has three significant disclosure events on his record:
- Regulatory Action (Finalized): On May 1, 1991, Hawley was censured and fined $5,000 by the National Association of Securities Dealers, Inc. (NASD). The sanctions were related to allegations that he exercised discretion in a customer’s account without obtaining prior written authorization and failed to promptly report a customer complaint to his branch manager and compliance department.
- Customer Dispute (Settled): On February 27, 1990, a customer alleged unauthorized trading in their account. The dispute was settled for $17,500, which Hawley personally contributed.
- Employment Termination: On July 1, 2024, Hawley was discharged from Wells Fargo Clearing Services, LLC following a review of allegations that he failed to reconfirm trades and used time and price discretion improperly.
Jeffrey Hawley Red Flags & Your Rights As An Investor
Of course, Jeffrey Hawley did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers coupled with the recent termination are red flags which should put all current and former customers of Jeffrey Hawley at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Hawley has 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 firms’ 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 Jeffrey Hawley
If you have questions about Wells Fargo Clearing Services, LLC and/or Jeffrey Hawley 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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