Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Otoole (Otoole), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Otoole recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 12, 2022.
Client complained that delay in executing liquidation instruction caused losses because time window closed and trade could not be executed until next window opened. (11/1/2021-4/12/2022)