Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Brown (Brown), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 07, 2023.
Customer complained that the financial advisor recommended securities not in her best interest, purchasing securities without authorization, and misrepresenting and failing to disclose facts. (4/17/2023-9/7/2023)