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Michelle Swenson Fired by Wells Fargo Clearing Services

Michelle Swenson (CRD #: 2949007) has been terminated by Wells Fargo Clearing Services. This is according to her BrokerCheck record, accessed on January 12, 2024. Keep reading if you have questions regarding her conduct. 

On November 27, 2023, Wells Fargo fired Michelle Swenson following allegations that she admitted to attaching a copy of a signed client signature page to a separate client form. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Falsifying client signature pages would violate this rule. 

Background Information 

Michelle Swenson has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

She has registered with the following firms: 

  • Wells Fargo Clearing Services (CRD #: 19616) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • RBC Dain Rauscher (CRD #: 31194) 
  • Investment Centers of America (CRD #: 16443) 
  • LM Financial Partners (CRD #: 30958) 
  • U.S. Bancorp Piper Jaffray (CRD #: 665) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 

Kurta Law Can Help 

If you have worked with Michelle Swensen and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.

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