Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carol Lemoult (Lemoult), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lemoult recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $625,592.85 on January 25, 2023.
Claimant alleges her Financial Advisor (FA) overconcentrated her account(s) in high-risk equity funds not suitable based on Claimant’s age.