Wells Fargo Clearing Services

Broker Philip Jefferson in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

May 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 14, 2025.

Client complained the recommendation to purchase investment was not suitable. (1/28/2025-3/21/2025)

Broker Thomas Kirwan in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

May 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 07, 2025.

The clients complain that the Financial advisor did not explain the fees and commissions that would be associated with newly opened accounts. (5/13/2025-3/7/2025)

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

May 19, 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 March 17, 2025.

Client verbally complained the recommendation to purchase US Treasury strips was not suitable and requests compensation for the loss he incurred upon sale of the securities. (8/22/2024-3/17/2025)

Broker Roger Nelson in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

May 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 31, 2025.

The client complains that the Financial Advisor did not explain that their investment in a Market Linked Certificate of Deposit could fluctuate in value prior to maturity date. (2/27/25-3/31/25)

Broker Erik Nelson in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

May 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 06, 2025.

The client complains their funds were not invested according to their objectives and claims they did not understand the possibility of market fluctuation. The client demands to be made whole. (1/27/2025-4/6/2025)

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

May 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Corbella (Corbella), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Corbella 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 $10,000.00 on April 09, 2025.

The client complains that they did not understand that their assets would be invested in the market and could decline in value. Client demands to be made whole. (3/26/2025-4/9/2025)

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

May 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Holmes (Holmes), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 $500,000.00 on April 11, 2025.

Claimant alleges that during an unspecified time period, the financial advisor made unsuitable recommendations and overall strategy.

There are Recent Customer Complaints with Broker Forrest Wester in Firm Wells Fargo Clearing Services, LLC

May 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Forrest Wester (Wester), 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 Wester recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 22, 2024.

Customer complained for fee reimbursement because their financial advisor took advantage of a long term relationship, violated his trust, made investments that were not in his best interest, and investments not managed properly. (4/25/2005 – 11/7/2023)

There are Recent Customer Complaints with Broker Tyler Rigsbee in Firm Wells Fargo Clearing Services, LLC

May 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 24, 2024.

Customer verbally complained that the financial advisor forged distribution requests and stole funds from her IRA and non-IRA accounts. (12/13/2018-4/7/2021)

Broker Mitchell Pindus in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

May 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Pindus (Pindus), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pindus 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 $200,000.00 on April 30, 2024.

Claimant alleges the Financial Advisor (FA) made concentrated speculative investment recommendations without adequately disclosing the risks of the recommendations.