Bartholomew Sweeney Terminated by Wells Fargo Clearing Services

Bartholomew Sweeney (CRD #: 1703445) has been fired by Wells Fargo Clearing Services. This disclosure appears on his BrokerCheck record, accessed on July 12, 2024. Keep reading if you have questions regarding his alleged conduct.
Employment Separation After Allegations
On May 9, 2024, Wells Fargo Clearing Services fired Bartholomew Sweeney following allegations that he used discretion in a client account. He also allegedly failed to escalate a client’s complaint and engaged in business-related communications via non-firm-approved communication channels.
Discretionary Trading
Unauthorized trading violates FINRA Rule 3260, which limits brokers to exercising their trading discretion in pre-approved discretionary accounts.
High Standards of Commercial Honor
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized trading and failing to escalate complaints violate this rule.
Background Information
Bartholomew Sweeney has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 31 Futures Managed Funds Examination
- Series 7 General Securities Representative Examination
- Series 10 General Securities Sales Supervisor – General Module Examination
- Series 9 General Securities Sales Supervisor – Options Module Examination
During his 36 years of experience, he has registered with five firms:
- Wells Fargo Clearing Services (CRD #: 19616)
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
- Advest Inc. (CRD #: 10)
- Prudential Securities Incorporated (CRD #: 7471)
- Smith Barney (CRD #: 7059)
Kurta Law Can Help
If you have worked with Bartholomew Sweeney and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.