Articles Tagged with Wells Fargo Clearing Services

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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)

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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)

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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)

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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.

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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)

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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)

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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.

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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.

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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.

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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.

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