Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Shultz (Shultz), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shultz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 04, 2022.
Customer verbally complained that the financial advisor misled her as to the Maturity Date of Brokered CDs, resulting in losses when the CDs were sold prior to maturity. (10/7/2020-11/4/2022)