Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Opher Shallom (Shallom), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shallom recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 13, 2024.
Client claims Financial Advisor’s recommendation of an outside money manager who employed a covered call options strategy was inappropriate, resulting in losses on the options when the underlying security appreciated substantially. Client seeks reimbursement for losses on the options. (11/8/2021-12/13/0224)