Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Beard (Beard), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 03, 2021.
Client, who inherited an annuity, complained that the financial advisor did not advise him of the deadline for processing the transfer of annuity ownership resulting in losses due to the shorter withdrawal timeframe. (6/15/2019-1/28/2021)