Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wilson Kwok (Kwok), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kwok recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 17, 2024.
Claimant alleges that from 2022, the FA breached his fiduciary duty by recommending unsuitable investments and misrepresenting the nature of those investments.