Wells Fargo Clearing Services

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.

There are Recent Customer Complaints with Broker Allen Wilson in Firm Wells Fargo Clearing Services, LLC

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allen Wilson (Wilson), currently associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Wilson 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 $475,000.00 on June 05, 2024.

Beginning in late 2020, Claimants alleges their Financial Advisor (FA) made unsuitable investment recommendations which were inappropriate for their risk tolerance and investment strategy.

There are Recent Customer Complaints with Broker Siria Pinkston in Firm Wells Fargo Clearing Services, LLC

April 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 17, 2024.

Beginning in 2014, Claimants allege their father’s Financial Advisor (FA) influenced him to misappropriate assets for the purpose of the FA’s personal gains.

There are Recent Customer Complaints with Broker Ajay Murthy in Firm Wells Fargo Clearing Services, LLC

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ajay Murthy (Murthy), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murthy 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 $2,228,442.18 on June 18, 2024.

Claimant alleges her Financial Advisor (FA) misappropriate funds from Claimant’s account for the FA’s own personal gains.

There are Recent Customer Complaints with Broker Wilson Kwok in Firm Wells Fargo Clearing Services, LLC

April 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 17, 2024.

Claimant alleges that from 2022, the FA breached his fiduciary duty by recommending unsuitable investments and misrepresenting the nature of those investments.

There are Recent Customer Complaints with Broker Samuel Starr in Firm Wells Fargo Clearing Services, LLC

April 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 22, 2024.

Customer complained that the financial advisor did not discuss fees, commissions and penalties when recommending the purchase of the investment. (11/10/2021)

There are Recent Customer Complaints with Broker Patrick Buttarazzi in Firm Wells Fargo Clearing Services, LLC

April 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 13, 2025.

Client complains that Financial Advisor assured them their annuity contract would provide a guaranteed monthly income; however the contract was terminated. Client demands the reinstatement of the contract and re-implementation of monthly income payment. (1/1/2025-2/13/2025)

There are Recent Customer Complaints with Broker Robert Morgan in Firm Wells Fargo Clearing Services, LLC

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 17, 2025.

Plaintiffs allege that from 2022-2023, the FA failed to protect the Plaintiff by permitting the withdrawal of funds without determining why the funds were being withdrawn or if the Plaintiff was competent or acting under duress.