Articles Tagged with Wells Fargo Clearing Services

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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)

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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.

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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.

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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.

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

FINRA BrokerCheck shows a pending customer complaint on September 13, 2024.

Claimant alleges that around May 2021, the FA recommended an unsuitable investment.

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

FINRA BrokerCheck shows a pending customer complaint on September 27, 2024.

Plaintiffs allege the FA made misrepresentations and unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on October 19, 2024.

Plaintiff alleges that the financial advisor exploited an elderly client by improperly making herself the joint accountholder and beneficiary for certain of the client’s bank accounts

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Elkins (Elkins), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elkins 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 $50,000.00 on October 21, 2024.

Time frame: November 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.

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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 settled customer complaint on October 23, 2024.

Customer complained that recommendation to reposition portfolio resulted in unsuitable risk exposure and lack of sufficient diversification. (9/17/2024 – 10/23/2024)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Devashish Shah (Shah), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shah 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 $250,000.00 on January 21, 2025.

Plaintiffs allege that in 2022, the FA provided inaccurate information regarding the amount of liquid assets in the Defendants’ accounts.

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