Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Warren Hartzman (Hartzman), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hartzman 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 $45,006.46 on September 09, 2020.
Client claimed that the financial advisor was not acting in her best interest by misrepresenting and providing misleading information about the unsuitable investments in her portfolio. (3/1/2013-9/9/2020)