Articles Tagged with Wells Fargo Clearing Services

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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 one disclosable event. These events include one customer complaint, 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)

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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 one disclosable event. These events include one customer complaint, 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.

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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 one disclosable event. These events include one customer complaint, 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)

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

FINRA BrokerCheck shows a settled customer complaint on December 30, 2020.

Claimant alleges their formal financail advisor recommended an unsuitable investment.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Ianace (Ianace), previously associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Ianace 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 $18,000,000.00 on January 25, 2021.

The customers allege unsuitable investment recommendations and misrepresentations from February 2013 until December 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Jaynes (Jaynes), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jaynes 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 $18,000,000.00 on January 25, 2021.

The customers allege unsuitable investment recommendations and misrepresentations from February 2013 until December 2019.

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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 January 12, 2026.

The client verbally complained the investment recommendation was unsuitable. (9/13/2024 – 6/18/2025)

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

FINRA BrokerCheck shows a pending customer complaint on January 16, 2026.

Client complains that the financial advisor did not offer the option of self-directed, commission free account. (1/1/2019-1/16/2026)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Taulant Cela (Cela), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cela 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 $163,360.00 on January 29, 2026.

Customer alleges unauthorized trading regarding a managed account investment. Activity dates June 2019 to January 2020.

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Claimant alleges that during an unspecified time period, the FA invested his assets in unsuitable investments.

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