Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Stolper (Stolper), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stolper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 25, 2023.
Arbitration: In or around October 2022, Claimant alleges her Financial Advisor’s (FA) wrongful placement of monies into her joint trust account caused significant tax consequences and losses \, Litigation: In or around October 2022, Plaintiff alleges her Financial Advisor’s (FA) wrongful placement of monies into her joint trust account caused significant tax consequences and losses