Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Sanderson (Sanderson), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sanderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 09, 2024.
Customer complained that Financial Advisor advised he would call client before purchasing the subject securities, and seeks reimbursement for losses sustained when securities were purchased and immediately declined in value. (7/9/2024)