Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Moran (Moran), previously associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moran 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 $1,000,000.00 on March 01, 2024.
Claimant alleges that beginning sometime in 2018 her Financial Advisor acted contrary to her instructions which resulted in unnecessary tax implications and prevented her account from growing to its full potential.