Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Wells (Wells), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wells recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.
Claimants alleged that the Representative recommended multiple alternative investment products that resulted in substantial losses. Claimants further alleged that Representative misrepresented the risks and potential for future income and growth.