DID KEVIN ALEXIS CORTES BAEZA CAUSE YOU INVESTMENT LOSSES?
Kevin Cortes Baeza was fired from Wells Fargo Clearing Services, LLC on October 9, 2024 following an investigation of irregular signing of a bank form, a violation of company policies.
Who is Kevin Cortes Baeza formerly with Wells Fargo Clearing Services, LLC?
Kevin Cortes Baeza (CRD #7699481) who was formerly registered as a broker with Wells Fargo Clearing Services, LLC and located in El Centro, California, 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.
Kevin Cortes Baeza Employment History and Termination
Kevin Alexis Cortes Baeza began his career in the securities industry in 2023. He was affiliated with Wells Fargo Clearing Services, LLC, from September 2023 to November 2024.
During this time, he passed two general industry/product exams (Series 6 and SIE) and one multi-state securities law exam (Series 63). His professional history includes roles as a registered representative and banker at Wells Fargo.
The termination of his employment in October 2024 followed a compliance violation unrelated to securities accounts. The termination was due to allegations that he permitted a family member to sign a bank form on behalf of another absent family member, which violated company policies.
Beyond his securities career, Cortes Baeza has entrepreneurial experience as the owner of KC Rentals LLC, a business unrelated to the financial industry.
Negative Disclosures Summary
One termination disclosure was noted.
- Type: Employment Termination
- Firm: Wells Fargo Clearing Services, LLC
- Date: October 9, 2024
- Allegations: Permitted a family member to sign a bank form on behalf of another family member who was not present. This was a compliance issue not related to securities accounts or customer disputes.
Kevin Cortes Baeza 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 Kevin Cortes Baeza is a red flag which should put all current and former customers of Kevin Cortes Baeza at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Cortes Baeza 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 Kevin Cortes Baeza
If you have questions about Wells Fargo Clearing Services, LLC and/or Kevin Cortes Baeza 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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