{"id":3590,"date":"2017-01-05T00:00:00","date_gmt":"2017-01-05T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/former-wells-fargo-broker-unauthorized-trading-allegations\/"},"modified":"2017-07-27T13:51:03","modified_gmt":"2017-07-27T17:51:03","slug":"former-wells-fargo-broker-unauthorized-trading-allegations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/former-wells-fargo-broker-unauthorized-trading-allegations\/","title":{"rendered":"Former Wells Fargo Broker Under Investigation After FINRA Suspended Him For to Unauthorized Trading Allegations"},"content":{"rendered":"<p>Silver Law Group is investigating former <a href=\"https:\/\/brokercheck.finra.org\/Firm\/Summary\/19616\" target=\"_blank\">Wells Fargo Advisors, LLC (CRD# 19616)<\/a> broker <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/1201052\" target=\"_blank\">Robert T. Tuffy (CRD# 1201052)<\/a> after FINRA barred him over unauthorized trading allegations.<\/p>\n<p>According to Tuffy\u2019s FINRA BrokerCheck report, FINRA suspended him in July 2016 for executing six trades in two accounts of a customer prior to receiving the customer\u2019s authorization.\u00a0 FINRA and Tuffy entered into an <a href=\"http:\/\/disciplinaryactions.finra.org\/Search\/ViewDocument\/66427\" target=\"_blank\">Acceptance, Waiver &amp; Consent (\u201cAWC\u201d)<\/a> memorializing the sanction.<\/p>\n<p>The suspension follows a termination of employment by Wells Fargo in October 2015, according to the BrokerCheck report.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/former-wells-fargo-broker-unauthorized-trading-allegations\/\"  title=\"Continue Reading Former Wells Fargo Broker Under Investigation After FINRA Suspended Him For to Unauthorized Trading Allegations\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Silver Law Group is investigating former Wells Fargo Advisors, LLC (CRD# 19616) broker Robert T. Tuffy (CRD# 1201052) after FINRA barred him over unauthorized trading allegations. According to Tuffy\u2019s FINRA BrokerCheck report, FINRA suspended him in July 2016 for executing six trades in two accounts of a customer prior to receiving the customer\u2019s authorization.\u00a0 FINRA [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-3590","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Former Wells Fargo Broker Robert Tuffy and Unauthorized Trading Allegations<\/title>\n<meta name=\"description\" content=\"If you have lost money investing with Robert T. Tuffy and Wells Fargo, contact our firm to learn how you can try to recover your losses.\" \/>\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\/former-wells-fargo-broker-unauthorized-trading-allegations\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Former Wells Fargo Broker Robert Tuffy and Unauthorized Trading Allegations\" \/>\n<meta name=\"twitter:description\" content=\"If you have lost money investing with Robert T. 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Tuffy and Wells Fargo, contact our firm to learn how you can try to recover your losses.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/former-wells-fargo-broker-unauthorized-trading-allegations\/","twitter_card":"summary_large_image","twitter_title":"Former Wells Fargo Broker Robert Tuffy and Unauthorized Trading Allegations","twitter_description":"If you have lost money investing with Robert T. Tuffy and Wells Fargo, contact our firm to learn how you can try to recover your losses.","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/former-wells-fargo-broker-unauthorized-trading-allegations\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/former-wells-fargo-broker-unauthorized-trading-allegations\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Former Wells Fargo Broker Under Investigation After FINRA Suspended Him For to Unauthorized Trading Allegations","datePublished":"2017-01-05T05:00:00+00:00","dateModified":"2017-07-27T17:51:03+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/former-wells-fargo-broker-unauthorized-trading-allegations\/"},"wordCount":436,"articleSection":["All Releases"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/former-wells-fargo-broker-unauthorized-trading-allegations\/","url":"https:\/\/www.silverlaw.com\/blog\/former-wells-fargo-broker-unauthorized-trading-allegations\/","name":"Former Wells Fargo Broker Robert Tuffy and Unauthorized Trading Allegations","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2017-01-05T05:00:00+00:00","dateModified":"2017-07-27T17:51:03+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"If you have lost money investing with Robert T. 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