Wells Fargo Advisors Financial Network Tag Archives

Broker Robert Siracusano in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

March 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 11, 2024.

On or about September 2021, claimant alleges that unsuitable recommendations were made to purchase an annuity and mutual funds.

There are Recent Customer Complaints with Broker Anthony Mampieri in Firm Wells Fargo Advisors Financial Network, LLC

February 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Mampieri (Mampieri), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mampieri 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 $7,700,000.00 on January 08, 2025.

CLIENT’S ATTORNEY ALLEGES, INTER ALIA, THAT THE CLIENT’S ACCOUNTS WERE NOT MANAGED IN HER BEST INTERESTS 2010-2023

Broker Douglas Frank in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

February 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 07, 2025.

Customer alleges failure to follow instructions and misrepresentation in connection with the sale of securities in March 2023.

There are Recent Customer Complaints with Broker Opher Shallom in Firm Wells Fargo Advisors Financial Network, LLC

February 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 13, 2024.

Client claims Financial Advisor’s recommendation of an outside money manager who employed a covered call options strategy was inappropriate, resulting in losses on the options when the underlying security appreciated substantially. Client seeks reimbursement for losses on the options. (11/8/2021-12/13/0224)