Leila Gough Voluntarily Resigned from Wells Fargo
Leila Gough (CRD #: 732270) voluntarily resigned from Wells Fargo following allegations. This disclosure appears on her BrokerCheck record, accessed on October 10, 2023. Keep reading for more details.
On July 31, 2023, Leila Gough voluntarily resigned from Wells Fargo following allegations regarding her use of a third-party communications system to conduct client business.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Using a third-party communications system may violate this rule.
FINRA Rule 3110
FINRA Rule 3110 requires that firms establish supervisory systems to ensure their compliance with securities regulations. Supervision includes business communications, and for that reason, brokers are not allowed to communicate with investors outside of official business channels.
There is also an investor dispute on her record alleging she was not informed of the amount of fees when she agreed to a managed account.
Leila Gough 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 3 National Commodity Futures Examination
- Series 7 General Securities Representative Examination
- Series 9 General Securities Sales Supervisor – Options Module Examination
- Series 10 General Securities Sales Supervisor – General Module Examination
- Series 8 General Securities Sales Supervisor Examination (Options Module and General Module)
During her 42 years of experience, Leila Gough has registered with five firms:
- Wells Fargo Clearing Services (CRD #: 19616)
- A.G. Edwards & Sons (CRD #: 4)
- Prudential Securities Incorporated (CRD #: 7471)
- Thomson McKinnon Securities (CRD #: 829)
- Painewebber Incorporated (CRD #: 8174)
Kurta Law Can Help
If you worked with Leila Gough and 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 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.