Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Walls (Walls), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walls recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $60,000.00 on July 26, 2023.
Trustee complained that the financial advisor sold securities in a discretionary account after having been instructed not to do so. (10/17/2022-8/15/2023)