Wells Fargo Clearing Services

Broker Victor Carrizal in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Carrizal (Carrizal), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carrizal 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 $37,036.00 on July 26, 2023.

Client alleges unsuitable investment recommendations. Activity dates January 2020 to February 2023.

There are Recent Customer Complaints with Broker Jeffrey Walls in Firm Wells Fargo Clearing Services, LLC

July 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Walls (Walls), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walls 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 $60,000.00 on July 26, 2023.

Trustee complained that the financial advisor sold securities in a discretionary account after having been instructed not to do so. (10/17/2022-8/15/2023)

There are Recent Customer Complaints with Broker John Bennett in Firm Wells Fargo Clearing Services, LLC

July 13, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker John Bennett (Bennett), currently 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), Bennett’s most recent customer complaint alleges that Bennett 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 $38,000.00 on August 14, 2023.

Customer alleged the structured note purchased was not liquid and therefore he was unable to take his required minimum distribution for 2022 and beyond.

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

July 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen 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 award / judgment customer complaint on August 21, 2023.

In or around May 2020, Claimant states that the Financial Advisor violated duties through inaction to prevent unauthorized trades in the account of their elderly client with declining health.

Broker Scott Seltzer in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 16, 2023.

Customer alleges unsuitable investment recommendation. Activity dates 9.25.20 – 11.09.21.

Broker Alex Stolper in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 25, 2023.

Arbitration: In or around October 2022, Claimant alleges her Financial Advisor’s (FA) wrongful placement of monies into her joint trust account caused significant tax consequences and losses \, Litigation: In or around October 2022, Plaintiff alleges her Financial Advisor’s (FA) wrongful placement of monies into her joint trust account caused significant tax consequences and losses

There are Recent Customer Complaints with Broker David Ward in Firm Wells Fargo Clearing Services, LLC

July 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 11, 2023.

Trustee complained, seeking reimbursement for investment losses, interest charges, and fees incurred on the investment of funds borrowed against an insurance policy. (1/4/2021 – 9/11/2023)

There are Recent Customer Complaints with Broker Zachary Harless in Firm Wells Fargo Clearing Services, LLC

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Harless (Harless), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harless 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 $320,000.00 on October 20, 2023.

Authorized party complained that financial advisor recommended improper asset allocation for account owners’ age bracket, resulting in losses. (8/28/2020-9/4/2023)

There are Recent Customer Complaints with Broker Carroll Wilson in Firm Wells Fargo Clearing Services, LLC

June 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carroll Wilson (Wilson), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilson 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 $26,916.17 on November 07, 2023.

Trustee alleges that the representative was not selling it still after she asked him to in November.

There are Recent Customer Complaints with Broker Kathrine Hansen Russell in Firm Wells Fargo Clearing Services, LLC

June 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathrine Hansen Russell (Hansen Russell), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hansen Russell 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 $495,000.00 on November 17, 2023.

From 2018 to 2021, Claimant alleges that the Financial Advisor (FA) recommended the purchase of unsuitable investment portfolio, which was overconcentrated in certain money market funds that underperformed other benchmarks.