Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Weiss (Weiss), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weiss recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 07, 2022.
Client complained that the financial advisor did not disclose that a portion of his compensation was a commission rate paid by the client and was not based on portfolio performance. (8/1/2019)