LINDA LOUISE ROMAN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1211 AVE OF THE AMERICAS 27TH FL, [PRIMARY RESIDENCE], NEW YORK, NY, 10036.
LINDA LOUISE ROMAN has worked at WELLS FARGO CLEARING SERVICES, LLC since August 01, 2002
Disclosure History
LINDA LOUISE ROMAN has 2 Disclosure Event(s).
Date: July 15, 2002 Category: Employment Separation After Allegations Firm Name: UBS PAINEWEBBER Termination Type: Permitted to Resign Allegations: ON JULY 17, 2002, LINDA ROMAN WAS PERMITTED TO RESIGN FROM UBS PAINEWEBBER. AT THE TIME OF HER RESIGNATION, LINDA ROMAN WAS UNDER INTERNAL REVIEW DUE TO HAVING OBTAINED WRITTEN TRADING AUTHORIZATION OVER CUSTOMER ACCOUNTS AND EXERCISING THAT DISCRETION WITHOUT OBTAINING PRIOR APPROVAL FROM A PRINCIPAL OF THE FIRM. Broker Comment: PAINEWEBBER HIRED ME TO BRING MY BUSINESS INCLUDING DISCRETIONARY ACCOUNTS. PAINEWEBBER FAILED TO PROCESS PAPERWORK AND DOCUMENTS AUTHORIZING THE DISCRETION I SECURED UNDER CUSTOMER AUTHORITY. PAINEWEBBER REFUSED TO ACCEPT THSE DOCUMENTS DUE TO AUDIT. CUSTOMERS CONTACTED BY PAINEWEBBER CONFIRMED MY AUTHORITY AND SATISFACTION WITH MY PERFORMANCE. PAINEWEBBER WAS WELL AWARE OF MY EXERCISING OF DISCRETION. I WAS NEVER ADVISED OF ANY RULE VIOLATION OR SUSPENSION.
Date: January 11, 1989 Category: Regulatory
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