Wells Fargo Clearing Services Tag Archives

Broker Caleb Gibson in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Gibson (Gibson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gibson 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 $40,000.00 on September 20, 2021.

The client alleges that the FA misrepresented the call features of a zero coupon bond.

Broker Keith Garland in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

January 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2021.

Client complained that he gave directions to place his funds in the market, but a mistake was made and they remained in a fixed account for three months during a rising market. (1/5/2021-9/20/2021)

Broker James Mossholder in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 04, 2021.

Claimant alleges that Wells Fargo by and through the Financial Advisor (FA) did negligent recommendations leading to significant financial losses.

Broker William Burke in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 05, 2021.

Plaintiff alleges that in April 2014, the financial advisor misrepresented the handling of distribution of assets from a Trust.

There are Recent Customer Complaints with Broker Brian Turner in Firm Wells Fargo Clearing Services, LLC

January 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 22, 2021.

Claimants allege that around December 2020, the FA recommended unsuitable stocks.

There are Recent Customer Complaints with Broker Linda Liu in Firm Wells Fargo Clearing Services, LLC

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linda Liu (Liu), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Liu 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 $500,000.00 on December 03, 2021.

Claimant alleges unsuitable investment recommendations that resulted in losses.

There are Recent Customer Complaints with Broker Christopher Queen in Firm Wells Fargo Clearing Services, LLC

January 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on December 07, 2021.

Claimant alleges that due to the Financial Advisor (FA)’s breach of fiduciary duty, Deceased suffered damages; moreover, FA was prohibited from taking on the rule of guardian and was notified of this prohibition but refused to withdraw from his appointed position.

Broker Paul Vizanko in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

January 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Vizanko (Vizanko), previously associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Vizanko recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 11, 2022.

Respondent Vizanko failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Anne Davidson in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

January 9, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 14, 2025.

The client claims their Financial Advisor did not disclose that failure to meet the capital call requirements could put the client’s invested principal at risk. The client demands a full return of their principal investment. (8/23/2024-11/14/2025)

There are Recent Customer Complaints with Broker Scott Droskie in Firm Wells Fargo Clearing Services, LLC

January 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 22, 2025.

The client verbally complained that the Financial Advisor used accounts for collateral against a credit line and without her permission. (10/22/2020 – 7/22/2025)