We are thrilled to share the news of a recent triumph by David Harrison, Esq. He successfully secured a FINRA Award for a broker-dealer registered representative expunging a CRD Disclosure filed by Wells Fargo Clearing Services, LLC.

Wells Fargo Clearing Services, LLC terminated the broker because a Wells Fargo Bank customer opened and then promptly closed a savings account. This termination had significant implications for the broker’s career and reputation because the broker was unable to obtain employment as a registered representative.

David Harrison, Esq, with his deep understanding of FINRA rules and procedures, stepped in to represent the broker. His dedication and expertise led to a successful outcome, with the broker receiving an expungement FINRA Award.

This achievement underscores our firm’s commitment to protecting the rights and reputations of brokers. It demonstrates our ability to navigate complex legal landscapes and achieve positive results for our clients.

David Harrison, Esq, a principal attorney at the Law Offices of David Harrison, continues to be a strong advocate for brokers. His success, in this case, is a testament to his skill and dedication.

We take great pride in David Harrison’s achievements and continue to stand firm in our dedication to our clients. If you’re a broker dealing with similar issues, we warmly welcome you to reach out to us for a consultation.

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