Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tim Ridley (Ridley), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ridley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.
Client complained that Financial Advisor did not do enough due diligence for now defaulted bonds to determine that the bonds he recommended were for issuers of which he specifically does not invest. (6/14/2018-12/13/2018)