Articles Tagged with Wells Fargo Clearing Services

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

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

Claimants allege unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leroy Born (Born), previously 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 September 18, 2025.

The client verbally complained that the Financial Advisor did not explain the potential interest rate risk of a long term investment or lack of tax advantage. (8/27/2024 – 6/18/2025)

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

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

Client complained that the financial advisor did not disclose that a portion of his compensation was a commission rate paid by the client and was not based on portfolio performance. (8/1/2019)

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

FINRA BrokerCheck shows a settled customer complaint on January 18, 2022.

Claimant, now 85 years old, alleges that her Financial Advisor made repeated unsuitable recommendations to invest that were harmful to her.

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

FINRA BrokerCheck shows a settled customer complaint on January 24, 2022.

Customer complained that instruction to telephone customer upon receipt of securities was not followed, resulting in lost market proceeds. (1/6/2022-1/24/2022)

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2022.

Customer alleges that, as told, this investment had a penalty of about $2,000.00 or if was withdraw before maturity, but it was not subject to any loss of values from the market.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Bowers (Bowers), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowers 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 $5,910.00 on October 22, 2025.

The Claimant alleges that in May 2024, an order was not timely executed.

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

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

Plaintiff alleges that in 2021, the FA misrepresented New Jersey inheritance tax regulations which resulted in $377,000 in taxes being imposed.

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

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

Client complained that the financial advisor did not disclose that a portion of his compensation was a commission rate paid by the client and was not based on portfolio performance. (8/1/2019)

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

FINRA BrokerCheck shows a settled customer complaint on January 18, 2022.

Claimant, now 85 years old, alleges that her Financial Advisor made repeated unsuitable recommendations to invest that were harmful to her.

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