Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corydon Wheat (Wheat), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wheat recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 25, 2020.
Client verbally complained a portion of his trade instructions was not completed as he instructed. Remainder of instructions were completed in trade corrections resulting in correction losses. (3/11/2020)