Wells Fargo Advisors Financial Network Tag Archives

Broker Alexander Fischman in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

February 5, 2026 | by Staff Attorney

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

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

February 5, 2026 | by Staff Attorney

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)

Broker Jason Pitts in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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.

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

February 3, 2026 | by Staff Attorney

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

Broker Larry Leppo in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

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)

Broker Paul Fordham in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

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.

Broker Goutam Datta in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Goutam Datta (Datta), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Datta 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 $258,993.00 on November 17, 2025.

Claimant asserts various causes of action including breach of fiduciary duty, negligence, negligent supervision, fraud, and breach of contract related to alleged unauthorized trading in her account.

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

January 2, 2026 | by Staff Attorney

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 December 15, 2025.

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

Broker Goutam Datta in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

December 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Goutam Datta (Datta), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Datta 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 $258,993.00 on October 22, 2025.

Claimant asserts various causes of action including breach of fiduciary duty, negligence, negligent supervision, fraud, and breach of contract related to alleged unauthorized trading in her account.

Broker Shalom Azar in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

December 18, 2025 | by Staff Attorney

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 with a damage request of $24,309.00 on October 31, 2025.

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