Wells Fargo Clearing Services Tag Archives

Broker Jeremy Maurer in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 13, 2024.

Claimant alleges that around May 2021, the FA recommended an unsuitable investment.

There are Recent Customer Complaints with Broker Iliasser Arias in Firm Wells Fargo Clearing Services, LLC

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Iliasser Arias (Arias), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arias 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 $5,699,336.00 on September 23, 2024.

Allegations were made that without authorization on or about July 2021 funds from a business account were misappropriated to personal accounts held by family members.

There are Recent Customer Complaints with Broker Oybek Giyazov in Firm Wells Fargo Clearing Services, LLC

March 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 27, 2024.

Plaintiffs allege the FA made misrepresentations and unsuitable investments.

Broker Nancy Flowers in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 19, 2024.

Plaintiff alleges that the financial advisor exploited an elderly client by improperly making herself the joint accountholder and beneficiary for certain of the client’s bank accounts

Broker Anthony Tassone in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on October 21, 2024.

Respondent Tassone 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 Robert Elkins in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Elkins (Elkins), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elkins 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 $50,000.00 on October 21, 2024.

Time frame: November 2010 to 2023 Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

Broker Leroy Born in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 23, 2024.

Customer complained that recommendation to reposition portfolio resulted in unsuitable risk exposure and lack of sufficient diversification. (9/17/2024 – 10/23/2024)

Broker Devashish Shah in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Devashish Shah (Shah), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shah 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 $250,000.00 on January 21, 2025.

Plaintiffs allege that in 2022, the FA provided inaccurate information regarding the amount of liquid assets in the Defendants’ accounts.

There are Recent Customer Complaints with Broker James Seijas in Firm Wells Fargo Clearing Services, LLC

March 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Seijas (Seijas), previously associated with Wells Fargo Clearing Services, LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Seijas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 29, 2025.

Claimants allege that between 2017 and 2019, the FA advised claimants to invest in an entity which was part of an alleged $35 million Ponzi scheme.

There are Recent Customer Complaints with Broker Ruben Trujillo in Firm Wells Fargo Clearing Services, LLC

March 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on February 07, 2025.

Respondent Trujillo 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.