Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hartman (Hartman), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hartman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 04, 2020.
Client complained that financial advisor failed to inform her that a ROTH IRA cannot be funded with income that has been received via the Foreign Earned Exchange Income tax credit, which resulted in a tax liability. (2/28/2013)