Articles Tagged with Wells Fargo Clearing Services

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

FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.

Client complained that Financial Advisor did not do enough due diligence for now defaulted bonds to determine that the bonds he recommended were for issuers of which he specifically does not invest. (6/14/2018-12/13/2018)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bain Chadsey (Chadsey), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chadsey 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 July 22, 2020.

Attorney for client alleged that the financial advisor transacted numerous trades in the account with no appreciable benefit to the client but generated commissions. (6/29/2002-7/19/2016)

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

FINRA BrokerCheck shows a settled customer complaint on July 27, 2020.

Client verbally complained that the financial advisor recommended inappropriate investments. (3/6/2017-7/27/2020).

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

FINRA BrokerCheck shows a settled customer complaint on July 27, 2020.

Attorney verbally demanded repayment of personal loan made by customer to Financial Advisor. (2/13/2013-7/27/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffry Carel (Carel), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carel 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 $137,000.00 on August 18, 2020.

Claimant alleges Registered Representative did not execute correct type of order to sell stocks. Activity date is June 5, 2020.

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

FINRA BrokerCheck shows a settled customer complaint on August 13, 2020.

Client complained that the financial advisor erroneously advised her that she would achieve a higher rate of income if she delayed turning on an income rider. (12/7/2007-7/8/2020)

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

FINRA BrokerCheck shows a settled customer complaint on December 30, 2020.

Claimant alleges their formal financail advisor recommended an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Ianace (Ianace), previously associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Ianace 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 $18,000,000.00 on January 25, 2021.

The customers allege unsuitable investment recommendations and misrepresentations from February 2013 until December 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Jaynes (Jaynes), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jaynes 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 $18,000,000.00 on January 25, 2021.

The customers allege unsuitable investment recommendations and misrepresentations from February 2013 until December 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leroy Born (Born), previously 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 January 12, 2026.

The client verbally complained the investment recommendation was unsuitable. (9/13/2024 – 6/18/2025)

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