Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Mullins (Mullins), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mullins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 01, 2025.
The client verbally complained that their Financial Advisor advised them they would receive the full return of principal when they surrendered during the free look period, but the returned sum was reduced by a market value adjustment. (2/25/2025 – 5/1/2025)