Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Wagstaff (Wagstaff), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wagstaff 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 $184,000.00 on July 12, 2023.
Customer alleged that the representative made an unsuitable recommendation to transfer an annuity that caused a tax event.