Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Duncan Gillan (Gillan), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gillan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,500,000.00 on December 08, 2022.
Customers complained that the financial advisor failed to provide accurate daily status reports as instructed, resulting in opportunity losses pending a reconciliation of the account balances. (6/1/2013-12/8/2022)