Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Nomberg (Nomberg), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nomberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on March 07, 2024.
Allegations: SOAEX purchase – unsuitability, misrepresentation and omissions Allegation period: December 4, 2018, the date of the first purchase of SOAEX to March 7, 2024 the date the SOC was received.