Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herbert Hafen (Hafen), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hafen 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 $20,000.00 on October 13, 2020.
Customer seeking to be reimbursed for unsuitable investments that FA made in her account.