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 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 January 07, 2026.

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 January 07, 2026.

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 2 disclosable events. These events include 2 customer complaints, 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 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 Neil Butler (Butler), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $31,250.00 on January 14, 2026.

The client complains that the financial advisor made unsuitable recommendations regarding the fee structure of the share classes sold. (1/25/2018-1/14/2026)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morey Perlmutter (Perlmutter), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perlmutter 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 $13,511.00 on September 21, 2020.

Time Frame:  December 26, 2019\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, . The client alleges a failure to funding his DAF prior to year-end 2019

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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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