Wells Fargo Clearing Services

Broker Marc Rosenbach in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Rosenbach (Rosenbach), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosenbach 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 $78,579.00 on April 20, 2022.

Client complained that a tax loss harvesting strategy in her managed accounts was ultimately not in her best interest. (1/1/2019-12/31/2020)

There are Recent Customer Complaints with Broker Helen Grace Caldwell in Firm Wells Fargo Clearing Services, LLC

November 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Helen Grace Caldwell (Caldwell), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caldwell 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 $325,000.00 on May 06, 2025.

Claimant alleges damages in connection with an outside investment in a former registered representative’s outside business.

Broker Mohammad Umar Shams in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mohammad Umar Shams (Shams), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shams 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 $5,817.57 on September 26, 2025.

Claimant alleges that in reliance on misrepresentations that money market funds could be used as collateral in a retirement account

There are Recent Customer Complaints with Broker Yoil Awabdeh in Firm Wells Fargo Clearing Services, LLC

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 11, 2022.

Power of Attorney complained that she was not informed that the mutual funds purchased in her mother’s account required an 18 month holding period. (2/14/2022-6/11/2022)

There are Recent Customer Complaints with Broker Ronald Graft in Firm Wells Fargo Clearing Services, LLC

November 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Graft (Graft), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graft 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 $19,657.09 on June 14, 2022.

Client complained that the financial advisor misrepresented fees and premium costs of a recommended investment. (1/1/2022-5/9/2022)

Broker Leif Olson in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 15, 2022.

Client complained that the financial advisor did not sell securities immediately as instructed, resulting in losses. (6/9/2022-6/15/2022)

There are Recent Customer Complaints with Broker Debra Logan in Firm Wells Fargo Clearing Services, LLC

November 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 17, 2022.

Trustee verbally complained that the financial advisor misrepresented that the margin rate would be fixed. (7/30/2018-6/17/22)

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.