Wells Fargo Clearing Services

There are Recent Customer Complaints with Broker Steven Tann in Firm Wells Fargo Clearing Services, LLC

July 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Tann (Tann), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tann 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 $1,000,000.00 on May 01, 2025.

Client alleges unsuitable investment recommendations. Activity dates July 2021 to December 2022.

There are Recent Customer Complaints with Broker Michael Montano in Firm Wells Fargo Clearing Services, LLC

July 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Montano (Montano), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Montano 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 $61,109.00 on May 29, 2025.

Plaintiff alleges unexpected fees were to be assessed for taking a withdrawal.

Broker Bruce Davis in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

July 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Davis (Davis), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $1,100,000.00 on July 18, 2023.

Claimants allege, inter alia, breach of fiduciary duty and fraud in relation to account activity. (2008-2022)

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)