Wells Fargo Clearing Services Fires Robert Dehayes
Robert Dehayes (CRD #:2638059), a broker registered with LPL Financial, was fired from his position at Wells Fargo Clearing Services, according to his BrokerCheck record, accessed on March 2, 2022.
On November 22, 2021, Wells Fargo Clearing Services fired Robert Dehayes after he allegedly failed to report the existence of an outside brokerage account held by his spouse in a timely manner.
He has no businesses listed in the Outside Business Activity section of his detailed BrokerCheck report.
Undisclosed Outside Business Activities Violates FINRA Rules 3270 and 2010
FINRA Rule 3270 requires that brokers provide written notice to their firms regarding their outside business activities. By engaging in an outside business activity without providing prior written notice to his firm, Robert Dehayes violated FINRA Rules 3270 and 2010.
A violation of FINRA Rule 3270 also constitutes a violation of FINRA Rule 2010, which requires registered representatives to observe high standards of commercial honor and just and equitable principles of trade.
On April 8, 2016, Robert Dehayes became the subject of a tax lien for $10,064.
Robert Dehayes 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 7 - General Securities Representative Examination
Robert Dehayes is a registered broker in five states.
Besides LPL Financial and Wells Fargo Clearing Services, he has also worked with the following firms:
- A. G. Edwards & Sons (CRD#:4)
- UBS Financial Services (CRD#:8174)
- Morgan Stanley (CRD#:7556)
- Prudential Securities Incorporated (CRD#:7471)
- L.C. Wegard & Co. (CRD#:3722)
Kurta Law Can Help
If you have worked with Robert Dehayes and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or email@example.com for a free consultation.
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