Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Connie Gambatese (Gambatese), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gambatese recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 09, 2025.
The client complains that the Financial Advisor failed to provide suitable advice in line with the objective of capital preservation related to liquidation of the portfolio. (1/9/2025 – 3/11/2025)