Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Siria Pinkston (Pinkston), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pinkston recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on June 17, 2024.
Beginning in 2014, Claimants allege their father’s Financial Advisor (FA) influenced him to misappropriate assets for the purpose of the FA’s personal gains.