Wells Fargo Clearing Services

Broker Frederick Hughes in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint on September 21, 2020.

Client complained that the financial advisor did not follow his instruction to modify the strike price of an option position, resulting in the underlying stock being called away. (3/20/2020-8/31/2020)

Broker Charles Mannel in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 23, 2020.

Plaintiff alleges that the Defendant, who is also successor trustee, failed to properly administer the trust.

There are Recent Customer Complaints with Broker Herbert Hafen in Firm Wells Fargo Clearing Services, LLC

March 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herbert Hafen (Hafen), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hafen 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 $20,000.00 on October 13, 2020.

Customer seeking to be reimbursed for unsuitable investments that FA made in her account.

Broker Robert Donovan in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Donovan (Donovan), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Donovan 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 $550,000.00 on October 15, 2020.

Allegations as stated by Claimant: Time frame: January to March 2020\<char_lb_r>\, \<char_lb_r>\, Allegations: Claimants’ counsel alleges unsuitability of certain investments, and that such investments resulted in principal losses. Claimants’ counsel further alleges financial advisor executed transactions that resulted in a substantial tax bill without adequately discussing the tax consequences with Claimants.

Broker Evan Savarick in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Savarick (Savarick), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Savarick 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 $140,000.00 on October 29, 2020.

Claimant alleges, inter alia, Failure to Follow Instructions with respect to managed accounts \\u00e2?” Aug 2019 to Oct 2020

There are Recent Customer Complaints with Broker Frank Olender in Firm Wells Fargo Clearing Services, LLC

March 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 10, 2020.

Attorney for the clients complains that the financial advisor concentrated the clients’ accounts in energy related securities, which sustained losses. (3/2/2005-12/10/2020).

Broker William Michetti in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 28, 2021.

Claimants allege that the Financial Advisor assigned to their trust accounts churned and mismanaged their accounts.

Broker Travis Tom in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

March 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 31, 2025.

Client complains that Financial Advisor purchased securities without authorization and demands compensation for losses incurred when securities were sold. (11/20/2025-11/21/2025)

There are Recent Customer Complaints with Broker Christopher Noonan in Firm Wells Fargo Clearing Services, LLC

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 05, 2021.

Client complained that the financial advisor purchased mutual funds in his account that were not appropriate for the account status. (2/23/2021-3/3/2021)

There are Recent Customer Complaints with Broker Eric Nilson in Firm Wells Fargo Clearing Services, LLC

February 23, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2021.

Client’s representative complained that the fee based program client was invested in was unsuitable for client’s objectives, that the management fee was inappropriate, and that short term gains caused unnecessary tax implications. (8/31/2006-7/10/2017)