Wells Fargo Clearing Services

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

April 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 12, 2024.

In or about August 2021, Claimants allege that the financial advisor made unsuitable investments.

Broker Helen grace Caldwell in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Helen grace Caldwell (Caldwell), previously associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Caldwell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 16, 2024.

Respondent Caldwell failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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

April 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 30, 2024.

Customer verbally complained that financial advisor neglected to change Investment Objective of managed portfolio and client lost opportunity gain as a result. (10/1/2023-8/30/2024)

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

March 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 14, 2025.

Claimant alleges that at the end of January 2024, the FA failed to execute the transactions requested via email and instead the cash was swept to Wells Fargo’s bank deposit program without the Claimant’s authorization.

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

March 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2025.

Client’s attorney complains that the Financial Advisor’s recommendation to sell securities to offset capital gains was unsuitable and requests that the trades be reversed. (12/31/2024-1/27/2025)

There are Recent Customer Complaints with Broker Reynel Gonzalez in Firm Wells Fargo Clearing Services, LLC

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reynel Gonzalez (Gonzalez), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 $6,000.00 on February 13, 2025.

Client complains that in recommending an outside money management strategy, the Financial Advisor assured them that they would recover principal and achieve a gain after one year. (1/11/2024-2/13/2025)

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

March 27, 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 pending customer complaint on February 18, 2025.

Client complains that Financial Advisor made unauthorized investments and demands reversal of transactions and compensation for lost earnings. (6/28/2024 – 2/18/2025)

There are Recent Customer Complaints with Broker Jeremy Fortner in Firm Wells Fargo Clearing Services, LLC

March 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on February 24, 2025.

Respondent Fortner failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Joseph Barreca in Firm Wells Fargo Clearing Services, LLC

March 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Barreca (Barreca), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barreca 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 $5,657.98 on February 27, 2025.

POA complained about fees charged, account formation, and asset allocation in accounts.

There are Recent Customer Complaints with Broker Sean Mcgerr in Firm Wells Fargo Clearing Services, LLC

March 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mcgerr (Mcgerr), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcgerr 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 $350,000.00 on September 09, 2024.

Time frame: August 2010 to 2023 Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.