Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Queen (Queen), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Queen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint on December 07, 2021.
Claimant alleges that due to the Financial Advisor (FA)’s breach of fiduciary duty, Deceased suffered damages; moreover, FA was prohibited from taking on the rule of guardian and was notified of this prohibition but refused to withdraw from his appointed position.