Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mossholder (Mossholder), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mossholder recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 04, 2021.
Claimant alleges that Wells Fargo by and through the Financial Advisor (FA) did negligent recommendations leading to significant financial losses.