Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberta Hunter (Hunter), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hunter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on May 20, 2026.
Client/Trustee complained that they were not advised about tax liability on capital gains realized when the Financial Advisor repositioned their discretionary account. Client seeks reduction in advisory fee to compensate for taxes paid on gains. (1/22/2025 – 5/20/2026)