Kery Shane Hutner of Chagrin Falls Ohio a stockbroker registered with Wells Fargo Clearing Services LLC is referenced in a customer initiated investment related written complaint on June 11, 2018 where the customer sought damages estimated to exceed $5,000.00 based upon accusations that between October 23, 2012 and May 24, 2018, the customer’s funds were not invested in mutual funds according to the customer’s instructions.

Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that Hutner has been subject of two regulatory actions supported by allegations of his misconduct in the securities industry. In particular, Hutner was censured and suspended by New York Stock Exchange (NYSE) according to a Decision containing findings that while Hutner was associated with Dean Witter Reynolds Inc., Hutner, inter alia, caused a check to be drawn from a customer’s account and directed to Hutner’s address; engaged in an unauthorized profit sharing agreement with the customer; and failed to inform the firm about the nature of his ownership in a securities account.

Thereafter, Hutner’s securities registration in the State of Illinois was denied in part based on a Notice of Hearing that the State of Illinois issued to Hutner in reference to NYSE’s sanctions against Hutner for engaging in violative conduct.

FINRA Public Disclosure also confirms that Hutner was discharged by Dean Witter Reynolds Inc. founded on accusations of Hutner’s check mishandling. Hutner has been employed by Wells Fargo Clearing Services LLC since December 16, 1999.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

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Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

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