Wells Fargo Advisors Financial Network

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

June 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 13, 2023.

Claimants allege that starting in 2021, their Financial Advisor (FA) made unsuitable investment recommendations inconsistent with their goals and investment experience.

Broker Thomas Moran in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

June 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Moran (Moran), previously associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moran 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 $1,000,000.00 on March 01, 2024.

Claimant alleges that beginning sometime in 2018 her Financial Advisor acted contrary to her instructions which resulted in unnecessary tax implications and prevented her account from growing to its full potential.

Broker Kevin Dery in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

June 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Dery (Dery), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dery 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 $50,000.00 on December 23, 2023.

Client alleges misrepresentations and unsuitable investments from 2019 through March 2020.

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

May 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Geoffrey Collins (Collins), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Collins 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 March 19, 2024.

Attorney for customer complained that the financial advisor misrepresented the annuitization options available when the contract period ended. (4/13/2021-3/19/2024)

Broker Thomas Ley in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

May 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2024.

Claimant alleges her Financial Advisor made unauthorized trades causing Claimant losses.

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

May 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 18, 2025.

Arbitration: Claimants allege that in 2016, the FA switched their accounts to an unsuitable fee-based account and mislead them regarding the advisory fees associated with the account.\, Complaint: Client claims charging commissions, rather than management fees, would have been more appropriate and therefore seeks reimbursement for the fees. (11/17/2017-10/1/2024)

Broker Jerry Mcewen in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

May 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 24, 2025.

Client complained they were unaware that a 1035 exchange recommended by their Financial Advisor would be subject to tax liability, and seeks reimbursement of taxes. 8/4/2014-3/24/2025)

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

May 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Rohr (Rohr), previously associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rohr 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 $12,000.00 on April 23, 2024.

The client alleges that the advice she was provided regarding the rollover of funds from her 457(b) plan to an ira was inaccurate. She claims the rollover is considered a taxable event from a governmental 457(b) plan and led her to lose approximately $12,000 in value on her account.

Broker Jaime Estrada in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Estrada (Estrada), currently associated with Wells Fargo Advisors Financial Network, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Estrada 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 $67,000.00 on June 18, 2024.

Claimant alleges her Financial Advisor (FA) made an unsuitable annuity recommendation for Claimant’s age and needs.

Broker Thomas Sanderson in Wells Fargo Advisors Financial Network, LLC Firm Has Customer Complaint

April 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 09, 2024.

Customer complained that Financial Advisor advised he would call client before purchasing the subject securities, and seeks reimbursement for losses sustained when securities were purchased and immediately declined in value. (7/9/2024)