Wells Fargo Clearing Services

Broker Sean Ben Asher in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Ben Asher (Ben Asher), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ben Asher 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 $10,484.00 on July 03, 2022.

Client complained that the financial advisor represented that he could borrow against his account; however he was required to liquidate positions and incurred taxes on capital gains. He sought a refund of commissions. (4/13/2022-7/3/2022)

There are Recent Customer Complaints with Broker Michael Levine in Firm Wells Fargo Clearing Services, LLC

November 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on August 18, 2022.

Claimant alleges that in or about 2014, the FA made unsuitable purchases in technology stocks.

Broker David Todd in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Todd (Todd), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Todd 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, 2022.

Claimant alleges that beginning in or about November 2020, the FA made unsuitable investments.

Broker Felix Albert Desmangles in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 02, 2022.

The executor of the estate complained that the financial advisor assured him that his account would not be at risk and misled him to believe the recommended account would be safe. (11/3/2020-9/2/2022)

Broker Daniel Clouse in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 5, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 07, 2022.

Customer complained that an order to sell securities was not executed resulting in losses. (10/4/2022-10/7/2022)

Broker Adrian Przyboro in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 16, 2025.

Client verbally complained that securities were not sold prior to enrollment into a third party managed account, delaying the inception. Client requests reimbursement for lost interest income caused by the delay. (3/27/2025-12/3/2024)

There are Recent Customer Complaints with Broker Norman Dix in Firm Wells Fargo Clearing Services, LLC

October 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 18, 2025.

The client complains that she instructed the Financial Advisor not to sell specific stocks when incepting her portfolio into a managed program; however the stocks were sold and client seeks reversal of the transactions. (5/8/2025-9/18/2025)

There are Recent Customer Complaints with Broker Bradley Secord in Firm Wells Fargo Clearing Services, LLC

October 29, 2025 | by Staff Attorney

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

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

Plaintiff alleges the FA made misrepresentations and omissions that permitted accounts to be reduced to a zero balance by 2017 without notice to or knowledge of the Plaintiff account holder.

Broker James Medsker in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

October 29, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 24, 2025.

Claimant alleges that from 2019 through 2021, the FA failed to escalate the potential financial exploitation of the Claimant

Broker Blake Hammer in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

October 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 20, 2022.

CLIENT ALLEGED THAT HIS INSTRUCTIONS ON HOW TO INVEST THE FUNDS IN HIS MANAGED ACCOUNT WERE NOT FOLLOWED. DAMAGES UNSPECIFIED 2015-2022