Maria Anne Harding, registered as a financial advisor with Wachovia Securities LLC from May 2007 through July 2009, has been suspended from FINRA for a period of three months. Without admitting or denying, Harding consented to the findings that while he was registered with Wachovia she falsified a customer’s Individual Retirement Account opening documents by cutting and pasting the customer’s signature from one document on to others without the customer’s authorization or knowledge. According to Harding’s FINRA Broker Report, it does not appear that she has any previous compliance problems, so it is unclear whether Wachovia failed to adequately supervise Harding.
If you have questions about investments you made with Harding or the Fort Myers offices of Wachovia Securities (now Wells Fargo), the Law Offices of David A. Carter, P.A. may be able to help. The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton. David Carter is a securities attorney that reviews securities fraud cases throughout the country and Florida, including reviewing securities fraud cases in Fort Myers, Naples, Port Charlotte, Sanibel, Tampa, West Palm Beach, Delray Beach, Fort Lauderdale and Vero Beach. To contact the Law Offices of David A. Carter, P.A., please call 561-750-6999, or email us at contact@carterpa.com.