Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Brandstater (Brandstater), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brandstater recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 12, 2022.
Client complained that Financial Advisor did not act upon requests for 5% stop orders, tax loss harvest requests and instructions concerning the buy/sell of an equity. (11/25/2021-1/21/2022)