Articles Tagged with Wells Fargo Clearing Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Blaszyk (Blaszyk), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blaszyk 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 $400,000.00 on November 20, 2023.

In 2022, it is alleged unsuitable investment recommendations were made.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Kutcher (Kutcher), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kutcher recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 27, 2023.

Claimants allege that during an unspecified period of time unsuitable investments were made.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Wendelin (Wendelin), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wendelin 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.

Claimant alleges that the Financial Advisor recommended that she hold investments that were improper and unsuitable in a portfolio that underperformed, and at times, disregarded the purported duty to monitor and make suitable investment recommendations.

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

FINRA BrokerCheck shows a settled customer complaint on June 24, 2024.

Customer complained that the financial advisor assured him that only about half of a stock position would be sold in a rebalancing by a money manager but the full position was sold, causing tax ramifications on capital gains. (4/11/2024-6/24/2024)

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

FINRA BrokerCheck shows a settled customer complaint on November 21, 2024.

Client verbally claimed they received poor advice related to exercising a rider on an annuity contract purchased in 2004, resulting in the loss of the rider’s provision for an income stream. (5/18/2023 – 11/21/2024)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glen Guinto (Guinto), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guinto 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 $5,532.38 on March 12, 2025.

The client complained that the Financial Advisor did not explain that commissions would be charged on the purchase of securities. The client requests reimbursement for all commissions paid. (12/24/2024 – 03/12/2025)

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2025.

Claimant alleges that in March 2024; the FA made an unsuitable purchase of an annuity.

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

FINRA BrokerCheck shows a pending customer complaint on June 25, 2025.

Claimant alleges that beginning in May 2019, the financial advisor made unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2025.

Claimant alleges that in March 2024; the FA made an unsuitable purchase of an annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Rangel (Rangel), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rangel 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 $29,138.58 on April 24, 2025.

Claimant alleges claims for breach of fiduciary duty and unsuitability with respect to a variable universal life policy.

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