Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Estrada (Estrada), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Estrada recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $67,000.00 on June 18, 2024.
Claimant alleges her Financial Advisor (FA) made an unsuitable annuity recommendation for Claimant’s age and needs.