JOHN LEGIER PREVOST is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 111 VETERANS MEMORIAL BLVD, STE 1800, METAIRIE, LA, 70005.
JOHN LEGIER PREVOST has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
JOHN LEGIER PREVOST has 1 Disclosure Event(s).
Date: August 15, 1982 Category: Regulatory Initiated By: LOUISIANA Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Broker Comment: FOR A PERIOD BEGINNING APPROXIMATELYMID AUGUST THROUGH OCTOBER 29, 1982, THE LOUISIANA SECURITIESCOMMISSION REFUSED TO REGISTER PREVOST AS AN AGENT-SALESMANOF A.G. EDWARDS & SONS, INC. UNDER THE LOUISIANA SECURITIESLAWS BECAUSE PREVOST HAD EFFECTED TRANSACTIONS WITH FOURCUSTOMERS PRIOR TO THE TIME SUCH REGISTRATION WAS EFFECTIVE.*** PREVOST RECEIVED A LETTER OF ACUTION DATED 11/4/82 FROMTHE DISTRICT BUSINESS CONDUCT COMMITTEE FOR DISTRICT NO. 5 OFTHE NASD FOR VIOLATING ARTICLE 1, SECTION 1, SCHEDULE C, PARTII OF THE NASD'S BY-LAWS AND ARTICLE III, SECTION I OF THENASD'S RULES OF FAIR PRACTICE IN CONNECTION WITH THE ABOVETRANSACTIONS.
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