Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aramis Perez (Perez), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 24, 2024.
Customer complained that the financial advisor assured him that only about half of a stock position would be sold in a rebalancing by a money manager but the full position was sold, causing tax ramifications on capital gains. (4/11/2024-6/24/2024)