Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Arness (Arness), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arness recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 13, 2020.
Client complained that the financial advisor erroneously advised her that she would achieve a higher rate of income if she delayed turning on an income rider. (12/7/2007-7/8/2020)