Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Tanaka (Tanaka), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tanaka recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 15, 2022.
Customer complained that the financial advisor advised him there would be no tax consequences associated with the surrender of his annuity; however, the a portion of the transaction was a taxable event. (4/15/2022)