Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Pindus (Pindus), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pindus 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 $200,000.00 on April 30, 2024.
Claimant alleges the Financial Advisor (FA) made concentrated speculative investment recommendations without adequately disclosing the risks of the recommendations.