Articles Tagged with Wells Fargo Advisors Financial Network

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frances Stickel (Stickel), previously associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stickel 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 $75,000.00 on April 19, 2022.

Claimants alleges– Negligence, Breach of Fiduciary Duty, Breach of Contract, Negligent Supervision, Violation of Securities Laws, and Fraud.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Holguin (Holguin), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holguin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 30, 2022.

Client verbally complained that the Financial Advisor reallocated his money market funds without authorization. (10/1/2021- 4/30/2022)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kery Hutner (Hutner), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hutner 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 $32,671.99 on December 19, 2022.

Arbitration: Claimant, acting in the capacity as a Power of Attorney, alleges unsuitable investments were recommended on or about 2020 for his client.\, Complaint: POA complained that the financial advisor recommended repositioning from individual mutual funds to a managed mutual fund portfolio with no benefit, and additional costs, to the customer. (1/29/2020-8/15/2022)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leigh Einhorn (Einhorn), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Einhorn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 09, 2023.

Customers complained that the financial advisor did not communicate clearly to them the details of the recommended investment or accurately assess their financial suitability. (2/10/2021-1/9/2023)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Solomon Tobal (Tobal), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Tobal recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 08, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO COMMISSIONS CHARGED ON INDIVIDUAL TRADES AND OPENING OF MANAGED ACCOUNT 2024-2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shalom Azar (Azar), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Azar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO COMMISSIONS CHARGED ON INDIVIDUAL TRADES ANDOPENING OF MANAGED ACCOUNT 2024-2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Fischman (Fischman), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Fischman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO COMMISSIONS CHARGED ON INDIVIDUAL TRADES AND OPENING OF MANAGED ACCOUNT 2024-2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Lamb (Lamb), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lamb 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 $519,000.00 on November 07, 2022.

Customers allege that representative recommended investments in a certain note and certain ETFs that were unsuitable for the customers’ investment profile and risk tolerance. Activity period: March 2021 to November 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Scherzer (Scherzer), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scherzer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 01, 2023.

Customer complained that the financial advisor failed to follow his instructions to exit him from all risky investments and bank failed in which customer owned stock. (3/23/2023-5/1/2023)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Lambert (Lambert), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lambert 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 $37,062.79 on August 21, 2025.

Client alleged that he lost money due to his advisor's recommendation to invest in a corporate bond.

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