Securities Lawyers Blog
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)