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Gregory Prime Fired from Wells Fargo Securities

Sep 2, 2022 Fired Brokers

Gregory Prime (CRD #: 1876499) was fired from Wells Fargo Securities, according to his BrokerCheck record, accessed on August 7, 2022. If you have questions about his conduct as a broker, read on.

Termination by Wells Fargo Securities

On May 23, 2022, Wells Fargo Securities fired Gregory Prime after he allegedly instructed a group of employees to delete certain business-related communications, though an internal review allegedly did not find that any of the employees followed this instruction.

FINRA Rule 4511 

FINRA Rule 4511 requires brokers to maintain books and records. 

FINRA Rule 2010

Violations of FINRA Rule 45111 are typically automatic violations of FINRA Rule 2010, which holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Gregory Prime has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 55 – Limited Representative-Equity Trader Exam
  • Series 3 – National Commodity Futures Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination 

He previously worked for the following firms:

  • Wells Fargo Securities (CRD#:126292)
  • J.P. Morgan Securities (CRD#:79)
  • J.P. Morgan Securities (CRD#:18718)
  • Citigroup Global Markets (CRD#:7059)
  • Goldman, Sachs & Company (CRD#:361)
  • UBS Warburg (CRD#:7654)
  • Painewebber (CRD#:8174)
  • Hambrecht & Quist (CRD#:940)
  • Blackford Securities (CRD#:20954)

Kurta Law Can Help

If you worked with Gregory Prime and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.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.