Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vipul Talati (Talati), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Talati 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 $20,000.00 on January 14, 2025.
Client complained that the Financial Advisor’s recommendation was not in line with clients primary objective of capital preservation, resulting in unrealized loss in market value. Client is seeking reimbursement for losses. (9/17/2024 – 1/14/2025)