Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Smith (Smith), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $15,863.00 on April 13, 2026.
Claimant alleges that beginning in January 2026, the registered representative recommended an unsuitable investment strategy and failed to follow instructions; however, Claimant does not appear to have any accounts with Wells Fargo Clearing Services.