Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Polis (Polis), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Polis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $85,000.00 on November 20, 2023.
Arbitration: Beginning in 2020, Claimant alleges his Financial Advisor (FA) made unauthorized purchases in Claimant’s account.\, Complaint: Customer complained that the financial advisor placed him in CDs that were longer term than instructed. (7/13/2020-7/18/2023)