Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Welsh (Welsh), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Welsh recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 08, 2023.
Claimant alleges that beginning around September 2012, the financial advisor made unsuitable investments, specifically in unit investment trust (UIT) and exchange-traded funds (ETF), to maximize his compensation