{"id":8311,"date":"2019-05-29T11:50:27","date_gmt":"2019-05-29T15:50:27","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8311"},"modified":"2019-05-29T11:50:27","modified_gmt":"2019-05-29T15:50:27","slug":"herbert-hafen-of-wells-fargo-clearing-services-of-new-york-ny","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/herbert-hafen-of-wells-fargo-clearing-services-of-new-york-ny\/","title":{"rendered":"Herbert Hafen Barred After Misappropriating Client Funds"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-8164 size-medium\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/NYC1-300x200.jpg\" alt=\"Herbert Hafen (CRD#: 867068, aka Elias Herbert Hafen, E Herbert Niggebrugge, Elias Niggebrugge) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of New York, NY. Hafen\u2019s previous employers include Morgan Stanley (CRD#:149777 and CRD#: 8209), and Bear Sterns (CRD#: 79), also of New York City. He has been in the industry since 1979. Hafen was discharged by Wells Fargo on 8\/21\/2018, after \u201centering into financial arrangements with clients that were not approved by the firm.\u201d\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/NYC1.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/NYC1-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Herbert Hafen (CRD#: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/867068\" target=\"_blank\">867068<\/a>, aka Elias Herbert Hafen, E Herbert Niggebrugge, Elias Niggebrugge) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of New York, NY. Hafen\u2019s previous employers include Morgan Stanley (CRD#:149777 and CRD#: 8209), and Bear Sterns (CRD#: 79), also of New York City. He has been in the industry since 1979.<\/p>\n<p>Hafen was discharged by Wells Fargo on 8\/21\/2018, after <em>\u201centering into financial arrangements with clients that were not approved by the firm.\u201d <\/em>  <a href=\"https:\/\/www.silverlaw.com\/blog\/herbert-hafen-of-wells-fargo-clearing-services-of-new-york-ny\/#more-8311\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Herbert Hafen (CRD#: 867068, aka Elias Herbert Hafen, E Herbert Niggebrugge, Elias Niggebrugge) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of New York, NY. Hafen\u2019s previous employers include Morgan Stanley (CRD#:149777 and CRD#: 8209), and Bear Sterns (CRD#: 79), also of New York City. He has been in the industry since 1979.Hafen was discharged by Wells Fargo on 8\/21\/2018, after \u201centering into financial arrangements with clients that were not approved by the firm.\u201d <\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-8311","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Herbert Hafen Barred After Misappropriating Client Funds &#8212;<\/title>\n<meta name=\"description\" content=\"Herbert Hafen is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services of New York, NY.\" \/>\n<meta name=\"robots\" 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