Articles Tagged with Wells Fargo Clearing Services

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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)

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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)

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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.

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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

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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

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

FINRA BrokerCheck shows a pending customer complaint on August 29, 2025.

The client complained that the Financial Advisor assured them that their principal investment plus interest would be returned after 6 months. However, losses were incurred upon liquidation of the investment. (11/21/2024 – 08/29/2025)

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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 5 disclosable events. These events include 5 customer complaints, 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 August 30, 2025.

Client complains that Financial Advisor assured him recommended investment would be safe and secure and seeks mitigation of losses. (7/19/2024 – 6/18/2025)

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Donavan Hilsabeck (Hilsabeck), previously employed by Wells Fargo Clearing Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Hilsabeck’s most recent customer complaint alleges that Hilsabeck recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $220,000.00 on October 27, 2022.

Claimant alleges that the performance of a structured CD purchased in 2015 and maturing in 2022 was misrepresented.

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

FINRA BrokerCheck shows a settled customer complaint on November 04, 2022.

Customer verbally complained that the financial advisor misled her as to the Maturity Date of Brokered CDs, resulting in losses when the CDs were sold prior to maturity. (10/7/2020-11/4/2022)

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

FINRA BrokerCheck shows a settled customer complaint on November 09, 2022.

Claimants allege that from August 2012 through the end of 2021, the financial advisor misrepresented a non-traded fund.

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