Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Giuseppe Mauceli (Mauceli), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mauceli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 13, 2023.
Claimants allege that starting in 2021, their Financial Advisor (FA) made unsuitable investment recommendations inconsistent with their goals and investment experience.