{"id":1744,"date":"2017-09-30T20:35:58","date_gmt":"2017-10-01T00:35:58","guid":{"rendered":"https:\/\/www.elderfinancialfraudattorneys.com\/?p=1744"},"modified":"2018-10-04T15:26:54","modified_gmt":"2018-10-04T19:26:54","slug":"investigation-david-wesley-wells-results-permanent-bar-securities-industry","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/investigation-david-wesley-wells-results-permanent-bar-securities-industry\/","title":{"rendered":"An Investigation into David Wesley Wells Results in a Permanent Bar from the Securities Industry"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"size-medium wp-image-1745 alignleft\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/10\/pic-6-300x200.jpg\" alt=\"An Investigation into David Wesley Wells Results in a Permanent Bar from the Securities Industry on elderfinancialfraudattorneys.com\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/10\/pic-6-300x200.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/10\/pic-6-768x512.jpg 768w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/10\/pic-6-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/10\/pic-6-1000x667.jpg 1000w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/10\/pic-6-180x120.jpg 180w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/10\/pic-6.jpg 1254w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/><\/p>\n<h2 style=\"text-align: justify;\">The former Mid Atlantic broker was accused of violating his duty as a trustee<\/h2>\n<p style=\"text-align: justify;\">Earlier this year, the Financial Industry Regulatory Authority (FINRA) began investigating David Wesley Wells due to allegations that he misappropriated funds from at least one client. When Wells refused to give FINRA the information it needed, the agency permanently barred him. This means that he can no longer have anything to do with firms that sell securities.<\/p>\n<p style=\"text-align: justify;\">Wells began his brokerage career in 1999 when he went to work for Mid Atlantic Capital Corporation in Hanover, Pennsylvania. In 2002, while still with Mid Atlantic, he also began working for Counsel Trust Group, and independent contractor office. It was a Counsel customer who charged him with misappropriation. According to FINRA\u2019s <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/3252656\"  rel=\"noopener\" target=\"_blank\"><span style=\"text-decoration: underline;\">BrokerCheck report<\/span><\/a>, when Mid Atlantic discovered the allegations against Wells, he was terminated.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/investigation-david-wesley-wells-results-permanent-bar-securities-industry\/\"  title=\"Continue Reading An Investigation into David Wesley Wells Results in a Permanent Bar from the Securities Industry\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>The former Mid Atlantic broker was accused of violating his duty as a trustee Earlier this year, the Financial Industry Regulatory Authority (FINRA) began investigating David Wesley Wells due to allegations that he misappropriated funds from at least one client. When Wells refused to give FINRA the information it needed, the agency permanently barred him. [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":1745,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1102],"tags":[1143],"class_list":["post-1744","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-blog","tag-david-wesley-wells"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>David Wesley Wells : Elder Financial Fraud Alert<\/title>\n<meta name=\"description\" content=\"An investigation into PA broker David Wesley Wells results in a permanent bar from the securities industry. Could you be a victim?\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/investigation-david-wesley-wells-results-permanent-bar-securities-industry\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"David Wesley Wells : Elder Financial Fraud Alert\" \/>\n<meta name=\"twitter:description\" content=\"An investigation into PA broker David Wesley Wells results in a permanent bar from the securities industry. 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