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 Scott Trueman (Trueman), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Trueman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 02, 2021.

Executor/Successor Trustee verbally complained that the financial advisor recommended an inappropriate financial strategy including the purchase of an inappropriate financial product. (4/6/2020)

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Steven Arch (Arch) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Arch was employed by Wells Fargo Advisors Financial Network, LLC at the time of the activity.  If you have been a victim of Arch’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on February 03, 2021.

Claimant alleges that the beginning around December 2014, FA did not act upon red flags of elder exploitation, including accusations of misappropriation of funds, changes in handling of the trust, withdrawals and improper use of funds which were misappropriated by the account holder’s family member.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Pesce (Pesce), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pesce 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 $140,000.00 on December 10, 2025.

Time frame:  2021-2024\, The Trustee’s attorney alleges the Financial Advisors recommended unsuitable long duration premium bonds based on the Grantor’s age. The Trustee’s attorney further alleges the Financial Advisors misrepresented that the principal would be preserved and income would be interest based. The Trustee’s attorney finally alleges the strategy violated Regulation Best Interest.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Bushman (Bushman), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bushman 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 $140,000.00 on December 10, 2025.

Time frame:  2021-2024\, The Trustee’s attorney alleges the Financial Advisors recommended unsuitable long duration premium bonds based on the Grantor’s age. The Trustee’s attorney further alleges the Financial Advisors misrepresented that the principal would be preserved and income would be interest based. The Trustee’s attorney finally alleges the strategy violated Regulation Best Interest.\,

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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 one disclosable event. These events include one customer complaint, alleging that Fischman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 15, 2025.

Client alleges misrepresentation with respect to commissions charged on individual trades and opening of managed account

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

FINRA BrokerCheck shows a pending customer complaint on December 12, 2025.

The client complains that instructions given several years ago regarding not selling a holding in a managed portfolio were not followed, such that the securities were sold at a profit, resulting in capital gains. The client seeks reversal of the liquidations. (9/8/2020 – 12/12/2025)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Pitts (Pitts), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Pitts 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 $900,000.00 on December 22, 2025.

Client alleges the financial professional misrepresented an unsuitable variable annuity contract.

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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 one disclosable event. These events include one customer complaint, alleging that Azar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 13, 2026.

Client alleges misrepresentation with respect to commissions charged on individual trades and opening of managed account

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

FINRA BrokerCheck shows a pending customer complaint on January 06, 2026.

Client claims that the Financial Advisor did not disclose the extent of the tax consequences of his recommendation to liquidate securities. (6/4/2025)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Fordham (Fordham), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fordham 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 $125,000.00 on September 28, 2021.

Misrepresentation, Unsuitability, Omission and Breach of fiduciary duty.

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