Articles Tagged with Wells Fargo Clearing Services

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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.

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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)

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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)

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Wade (Wade), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wade 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 $413,500.80 on February 21, 2025.

Claimant alleges that in May 2022, the FA failed to follow instructions which resulted in unnecessary income taxes.

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.

Claimant alleges that from 2021 through 2022, the registered rep was part of a team that made unsuitable investments and unauthorized trading which resulted in losses.

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.

Claimant alleges that from 2021 through 2022, the registered rep was part of a team that made unsuitable investments and unauthorized trading which resulted in losses.

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

FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.

Claimant alleges that from 2021 through 2022, the FA made unsuitable investments and unauthorized trading which resulted in losses.

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Xiangyu Zhang (Zhang), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zhang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

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