Wells Fargo Clearing Services

There are Recent Customer Complaints with Broker Paul Haberek in Firm Wells Fargo Clearing Services, LLC

July 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 27, 2020.

Client verbally complained that the financial advisor recommended inappropriate investments. (3/6/2017-7/27/2020).

There are Recent Customer Complaints with Broker Jerry Holcomb in Firm Wells Fargo Clearing Services, LLC

July 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 27, 2020.

Attorney verbally demanded repayment of personal loan made by customer to Financial Advisor. (2/13/2013-7/27/2020)

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

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Walker (Walker), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Walker 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 $3,000,000.00 on April 14, 2020.

Broker Anthony Lapia in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 13, 2020.

Arbitration: Claimants allege FA over-concentrated their portfolio in unsuitable investments. \<char_lb_r>\, \<char_lb_r>\, Complaint:Attorney for clients complained that the financial advisor engaged in an unsuitable trading strategy, which did not match their investment objectives. (6/26/2015-11/30/2018)

There are Recent Customer Complaints with Broker James Arness in Firm Wells Fargo Clearing Services, LLC

July 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 13, 2020.

Client complained that the financial advisor erroneously advised her that she would achieve a higher rate of income if she delayed turning on an income rider. (12/7/2007-7/8/2020)

Broker Jeffry Carel in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

June 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffry Carel (Carel), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Carel 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 $137,000.00 on August 18, 2020.

Claimant alleges Registered Representative did not execute correct type of order to sell stocks. Activity date is June 5, 2020.

Broker Michael Walker in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Walker (Walker), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Walker 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 $3,000,000.00 on April 14, 2020.

Broker Anthony Lapia in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 13, 2020.

Arbitration: Claimants allege FA over-concentrated their portfolio in unsuitable investments. \<char_lb_r>\, \<char_lb_r>\, Complaint:Attorney for clients complained that the financial advisor engaged in an unsuitable trading strategy, which did not match their investment objectives. (6/26/2015-11/30/2018)

There are Recent Customer Complaints with Broker Larry Smith in Firm Wells Fargo Clearing Services, LLC

June 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Smith (Smith), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $15,863.00 on April 13, 2026.

Claimant alleges that beginning in January 2026, the registered representative recommended an unsuitable investment strategy and failed to follow instructions; however, Claimant does not appear to have any accounts with Wells Fargo Clearing Services.

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

June 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.

Client complained that their Financial Advisor advised them to convert their Required Minimum Distribution into a ROTH IRA without disclosing that it did not meet RMD requirements, resulting in negative financial consequences. (6/12/2025 – 4/20/2026)