Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Lapia (Lapia), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lapia recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 13, 2020.
Arbitration: Claimants allege FA over-concentrated their portfolio in unsuitable investments. \<char_lb_r>\, \<char_lb_r>\, Complaint:Attorney for clients complained that the financial advisor engaged in an unsuitable trading strategy, which did not match their investment objectives. (6/26/2015-11/30/2018)