Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tiffany Campbell (Campbell), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Campbell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,192.15 on February 17, 2023.
Client purchased annuity contract (a qualified account for $18,000 and a non-qualified account for $32,000) in December of 2011. Over 11 years later, client complained that optional benefit elections that she selected (and utilized) were not addressed at the time of sale and were not needed. Issuing insurance company settled the claim for nuisance value without input from or contributions by BSI or former representative.