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WARNING! Impending Investigation–NICHOLAS H. HARPER and WELLS FARGO ADVISORS

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15
May

WARNING! Impending Investigation–NICHOLAS H. HARPER and WELLS FARGO ADVISORS

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Nicholas H. Harper and Wells Fargo Advisors

Have you lost money with financial advisor Nicholas H. Harper of Topeka, Kansas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Nicholas Harper.  Harper was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Harper concerning allegations that resigned from his brokerage firm, Wells Fargo Advisors, after its compliance department reviewed trading activity in his customers’ accounts.

Nicholas H. Harper was a financial advisor and registered representative of Wells Fargo Advisors from 1997 to August 2013.  He worked at a Wells Fargo Advisors branch office in Topeka, Kansas.  He is no longer with Wells Fargo.

Brokerage firms like Wells Fargo Advisors 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, such as refraining from selling investments and securities that are not approved by the firm.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Our attorneys have represented over one thousand investors who have been defrauded by their financial advisor or stockbroker.  While we have offices in Denver and the Seattle area, we have also previously represented clients throughout Kansas.  If you have lost money with Nicholas H. Harper or Wells Fargo Advisors and want to hear about ALL legal options, please visit https://www.israelsneuman.com and go to our CONTACT page or call us at 720-599-3505.

Click to view:  Harper FINRA AWC

Click to view:  Harper BrokerCheck 5.14.15

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.
10.0David P Neuman

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