Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darren Moran (Moran), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moran 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 $648,745.00 on September 13, 2023.
Claimant alleges in or around December 2017, her mother’s FA made unsuitable investments with regard to her Wells Fargo accounts.