Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Courtland (Courtland), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Courtland recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 18, 2022.
Claimant alleges that the branch manager failed to supervise the FA from April 2012 through September 2019 that recommended annuities that were unsuitable.