Wells Fargo Advisors Financial Network

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)

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)