Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ajay Murthy (Murthy), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murthy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,228,442.18 on June 18, 2024.
Claimant alleges her Financial Advisor (FA) misappropriate funds from Claimant’s account for the FA’s own personal gains.