John Clemens Resigns from Wells Fargo Clearing Services
John Clemens (CRD #: 860935), a broker registered with RBC Capital Markets, resigned from his previous firm, according to his BrokerCheck record, accessed on October 29, 2022. If you want to learn more about his conduct as a broker, read on.
Resignation from Wells Fargo Clearing Services
On September 1, 2022, John Clemens resigned from Wells Fargo Clearing Services following allegations that he accepted trading instructions from a third party who did not have the authorization to give instructions for the account. The firm additionally alleged that he falsely noted in an electronic record that he had spoken to the client when he had not.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Background Information
John Clemens has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- 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
John Clemens is a registered broker in ten states and is a registered investment adviser in Ohio and Texas.
He has also worked for the following firms:
- Wells Fargo Clearing Services (CRD#:19616)
- McDonald Investments (CRD#:566)
- Everen Securities (CRD#:19616)
- Prescott, Ball & Turben (CRD#:7656)
Kurta Law Can Help
If you worked with John Clemens 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.