Shelley Freeman, formerly of Wells Fargo, Barred from Securities Industry
Have you lost money with financial advisor Shelley Freeman of Beverly Hills, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Shelley S. Freeman. FINRA barred Freeman from the securities industry after she failed to respond to a FINRA investigation. FINRA was investigating Freeman after she was terminated by her former brokerage firm, Wells Fargo Clearing Services, “after concerns were identified about her management of retail sales activities in the Community Bank”, according to her BrokerCheck report.
Shelley Freeman was a financial advisor and registered representative of Wells Fargo from 1996 to February 2017. She worked at a branch office in Beverly Hills, California.
Brokerage firms like Wells Fargo have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle, Washington area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout California and the greater Los Angeles area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Wells Fargo.
Click to view: Freeman, Shelley FINRA AWC
Click to view: Freeman, Shelley BrokerCheck 8.10.17
If you lost money with Shelley Freeman or Wells Fargo, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.