Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anne Davidson (Davidson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davidson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 14, 2025.
The client claims their Financial Advisor did not disclose that failure to meet the capital call requirements could put the client’s invested principal at risk. The client demands a full return of their principal investment. (8/23/2024-11/14/2025)