Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Hughes (Hughes), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hughes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint on September 21, 2020.
Client complained that the financial advisor did not follow his instruction to modify the strike price of an option position, resulting in the underlying stock being called away. (3/20/2020-8/31/2020)