Dowyun Bae Fired from Wells Fargo Clearing Services
Dowyun Bae (CRD #: 4940632), a broker formerly registered with Wells Fargo Clearing Services, was recently fired by the firm and its affiliate bank, according to her BrokerCheck record, accessed on May 11, 2023. If you have questions about her alleged conduct as a broker, read on.
Termination from Wells Fargo Clearing Services
On March 14, 2023, Dowyun Bae was fired from Wells Fargo Clearing Services and Wells Fargo Bank following allegations that she failed to document bank customer consent for certain referrals and accessed bank customer account information without a business reason.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Dowyun Bae has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
She previously worked for Wells Fargo Clearing Services (CRD#:19616) and Wells Fargo Investments (CRD#:10582).
Kurta Law Can Help
If you worked with Dowyun Bae and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.