Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kirwan (Kirwan), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirwan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 07, 2025.
The clients complain that the Financial advisor did not explain the fees and commissions that would be associated with newly opened accounts. (5/13/2025-3/7/2025)