Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Solomon (Solomon), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Solomon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on June 11, 2021.
Plaintiff alleges that on or about August 29, 2019, improper due diligence was used before wiring funds from Plaintiff’s account without Plaintiff’s authorization.