Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Camie Quigley (Quigley), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quigley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 07, 2020.
Client complained that the financial advisor did not sell as initially instructed and that she subsequently converted the mutual fund position to cash without first discussing with the client. (11/27/2019-12/2/2019)