Wells Fargo Clearing Services

Broker Bruce Theuerkauf in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Theuerkauf (Theuerkauf), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Theuerkauf 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 $15,616.00 on March 07, 2025.

Clients complain Financial Advisors purchased discounted bonds without authorization, resulting in loss of state income tax benefit. (5/17/2022-3/7/2025)

Broker Glenn Wittpenn in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Wittpenn (Wittpenn), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wittpenn 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 $15,616.00 on March 07, 2025.

Clients complain Financial Advisors purchased discounted bonds without authorization, resulting in loss of state income tax benefit. (5/17/2022-3/7/2025)

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

April 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2024.

Customer complained that the financial advisor re-purchased securities without first confirming information with customer, resulting in loss of tax credits. (8/8/2024-8/9/2024)

Broker Robert Wise in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

April 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Wise (Wise), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wise 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.

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)