Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Dix (Dix), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dix recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 18, 2025.
The client complains that she instructed the Financial Advisor not to sell specific stocks when incepting her portfolio into a managed program; however the stocks were sold and client seeks reversal of the transactions. (5/8/2025-9/18/2025)