Articles Tagged with Stephen Smith

There are Recent Customer Complaints with Broker Stephen Smith in Firm Wells Fargo Clearing Services, LLC

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Smith (Smith), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint on August 21, 2023.

In or around May 2020, Claimant states that the Financial Advisor violated duties through inaction to prevent unauthorized trades in the account of their elderly client with declining health.

There are Recent Customer Complaints with Broker Stephen Smith in Firm Cetera Investment Services LLC

April 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Smith (Smith), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $200,000.00 on August 22, 2024.

Claimant alleges unsuitable investment recommendations with resulted in losses.