Articles Tagged with Wells Fargo Clearing Services

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Weiss (Weiss), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weiss 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, 2022.

Client complained that the financial advisor did not disclose that a portion of his compensation was a commission rate paid by the client and was not based on portfolio performance. (8/1/2019)

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on January 18, 2022.

Claimant, now 85 years old, alleges that her Financial Advisor made repeated unsuitable recommendations to invest that were harmful to her.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on January 24, 2022.

Customer complained that instruction to telephone customer upon receipt of securities was not followed, resulting in lost market proceeds. (1/6/2022-1/24/2022)

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2022.

Customer alleges that, as told, this investment had a penalty of about $2,000.00 or if was withdraw before maturity, but it was not subject to any loss of values from the market.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Murray (Murray), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murray 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 $300,000.00 on March 01, 2022.

Client alleged that FA Murray solicited a loan investment for a third party business outside Morgan Stanley without the Firm’s authorization.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on April 12, 2022.

Client complained that delay in executing liquidation instruction caused losses because time window closed and trade could not be executed until next window opened. (11/1/2021-4/12/2022)

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on April 12, 2022.

Client complained that Financial Advisor did not act upon requests for 5% stop orders, tax loss harvest requests and instructions concerning the buy/sell of an equity. (11/25/2021-1/21/2022)

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on April 15, 2022.

Customer complained that the financial advisor advised him there would be no tax consequences associated with the surrender of his annuity; however, the a portion of the transaction was a taxable event. (4/15/2022)

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Rosenbach (Rosenbach), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosenbach 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 $78,579.00 on April 20, 2022.

Client complained that a tax loss harvesting strategy in her managed accounts was ultimately not in her best interest. (1/1/2019-12/31/2020)

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Helen Grace Caldwell (Caldwell), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caldwell 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 $325,000.00 on May 06, 2025.

Claimant alleges damages in connection with an outside investment in a former registered representative’s outside business.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design