Wells Fargo Clearing Services

There are Recent Customer Complaints with Broker David Bains in Firm Wells Fargo Clearing Services, LLC

August 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2025.

Claimant alleges that in March 2024; the FA made an unsuitable purchase of an annuity.

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

July 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 25, 2025.

Claimant alleges that beginning in May 2019, the financial advisor made unsuitable investments.

Broker David Bains in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2025.

Claimant alleges that in March 2024; the FA made an unsuitable purchase of an annuity.

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

July 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Rangel (Rangel), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rangel 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 $29,138.58 on April 24, 2025.

Claimant alleges claims for breach of fiduciary duty and unsuitability with respect to a variable universal life policy.

There are Recent Customer Complaints with Broker Steven Tann in Firm Wells Fargo Clearing Services, LLC

July 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Tann (Tann), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tann 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 $1,000,000.00 on May 01, 2025.

Client alleges unsuitable investment recommendations. Activity dates July 2021 to December 2022.

There are Recent Customer Complaints with Broker Michael Montano in Firm Wells Fargo Clearing Services, LLC

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Montano (Montano), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Montano 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 $61,109.00 on May 29, 2025.

Plaintiff alleges unexpected fees were to be assessed for taking a withdrawal.

Broker Bruce Davis in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Davis (Davis), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $1,100,000.00 on July 18, 2023.

Claimants allege, inter alia, breach of fiduciary duty and fraud in relation to account activity. (2008-2022)

Broker Victor Carrizal in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Carrizal (Carrizal), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carrizal 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 $37,036.00 on July 26, 2023.

Client alleges unsuitable investment recommendations. Activity dates January 2020 to February 2023.

There are Recent Customer Complaints with Broker Jeffrey Walls in Firm Wells Fargo Clearing Services, LLC

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Walls (Walls), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walls 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 $60,000.00 on July 26, 2023.

Trustee complained that the financial advisor sold securities in a discretionary account after having been instructed not to do so. (10/17/2022-8/15/2023)

There are Recent Customer Complaints with Broker John Bennett in Firm Wells Fargo Clearing Services, LLC

July 13, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker John Bennett (Bennett), currently employed by Wells Fargo Clearing Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Bennett’s most recent customer complaint alleges that Bennett recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $38,000.00 on August 14, 2023.

Customer alleged the structured note purchased was not liquid and therefore he was unable to take his required minimum distribution for 2022 and beyond.