Articles Tagged with Wells Fargo Clearing Services

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

FINRA BrokerCheck shows a pending customer complaint on December 09, 2025.

The client complains that the Financial Advisor failed to provide suitable advice in line with the objective of capital preservation related to liquidation of the portfolio. (1/9/2025 – 3/11/2025)

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

FINRA BrokerCheck shows a pending customer complaint on December 09, 2025.

The client complains that the Financial Advisor failed to act in their best interest, resulting in underperformance vs. an S&P benchmark, particularly when considering fees charged. (8/16/2018 – 12/9/2025)

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

FINRA BrokerCheck shows a pending customer complaint on December 13, 2025.

Client complained that the Financial Advisor pressured them into repositioning into higher risk investment products that were outside their goals and risk tolerance, and seeks compensation for losses. (10/6/2025-12/13/2025)

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

FINRA BrokerCheck shows a pending customer complaint on December 15, 2025.

Claimant alleges that beginning in June 2021, the FA failed meet the objectives of the Claimant.

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,000.00 on September 20, 2021.

The client alleges that the FA misrepresented the call features of a zero coupon bond.

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

FINRA BrokerCheck shows a settled customer complaint on September 22, 2021.

Client complained that he gave directions to place his funds in the market, but a mistake was made and they remained in a fixed account for three months during a rising market. (1/5/2021-9/20/2021)

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

FINRA BrokerCheck shows a settled customer complaint on October 04, 2021.

Claimant alleges that Wells Fargo by and through the Financial Advisor (FA) did negligent recommendations leading to significant financial losses.

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

FINRA BrokerCheck shows a settled customer complaint on November 05, 2021.

Plaintiff alleges that in April 2014, the financial advisor misrepresented the handling of distribution of assets from a Trust.

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

FINRA BrokerCheck shows a settled customer complaint on November 22, 2021.

Claimants allege that around December 2020, the FA recommended unsuitable stocks.

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on December 03, 2021.

Claimant alleges unsuitable investment recommendations that resulted in losses.

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