Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandro Olivos (Olivos), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Olivos 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 $100,000.00 on March 12, 2024.
Customer alleges Mr. Olivos misrepresented the risks associated with the investment in NorthStar Financial Services and that the investment recommendations were unsuitable