JOHN JAMES DELANY is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 217 S MAIN ST, LEXINGTON, VA, 24450.
JOHN JAMES DELANY has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
JOHN JAMES DELANY has 1 Disclosure Event(s).
Date: April 01, 1972 Category: Employment Separation After Allegations Firm Name: LEHMAN BROTHERS Termination Type: Permitted to Resign Allegations: DELANY'S MANAGER AT LEHMAN BROTHERS PERMITTED HIM TO RESIGN AFTER HE HAD ENCLOSED PERSONAL NOTES WITH PROSPECTUSES HE HAD MAILED OUT ON NEW ISSUES. THE DISCOVERY OF THIS "VIOLATION" WAS SOLELY THE MANAGER'S. Broker Comment: DURING THE PERIOD WHEN A SECURITY LEHMAN WAS UNDERWRITING WAS RESTRICTED, DELANY RECOMMENDED THE PURCHASE TO VARIOUS CUSTOMERS IN VIOLATION OF THE FIRM'S POLICY.
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