DAVID LAING STEWART is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 180 BATTERY ST STE 300, BURLINGTON, VT, 05401.
DAVID LAING STEWART has worked at WELLS FARGO CLEARING SERVICES, LLC since August 15, 2003
Disclosure History
DAVID LAING STEWART has 1 Disclosure Event(s).
Date: February 05, 1992 Category: Regulatory Initiated By: STATE OF VERMONT - BANKING AND INSURANCE DEPT. Allegations: MERRILL LYNCH HAD FAILED TO APPOINT ME AS AGENT FOR A POLICY I HAD SHOWN TO A CLIENT. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $100.00 Sanction Details: $100 PAID BY EMPLOYER WITHIN 10 DAYS OF FINAL DISPOSITION. Broker Comment: DUE TO AN ADMINISTRATIVE TECHNICAL OVERSIGHT ATMERRILL LYNCH LIFE AGENCY INC. AND CROWN LIFE CO., I SOLD ACROWN LIFE INSURANCE POLICY WHILE I WAS NOT APPOINTED AS ANAGENT OF CROWN LIFE INSURANCE CO. THE STIPULATION INCLUDES THEFOLLOWING "THE COMMISSIONER HAS DETERMINED THAT DAVID L.STEWART IS NOT GUILTY OF MAKING A FALSE STATEMENT OR OMISSIONOR OF BEING DISHONEST, UNFAIR O R UNETHICAL DUE TO THE FACTTHAT HE RELIED UPON THE EFFORTS OF HIS EMPLOYER AN D OF CROWNLIFE INSURANCE TO OBTAIN SUCH APPOINTMENT."
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