Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pringle (Pringle), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pringle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 09, 2025.
The client complains that the Financial Advisor failed to act in their best interest, resulting in underperformance vs. an S&P benchmark, particularly when considering fees charged. (8/16/2018 – 12/9/2025)