Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Garland (Garland), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garland recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 22, 2021.
Client complained that he gave directions to place his funds in the market, but a mistake was made and they remained in a fixed account for three months during a rising market. (1/5/2021-9/20/2021)