Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yancey Carter (Carter), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 25, 2023.
In or around July 2020, Claimants’ Financial Advisor (FA) misrepresented the risks of loss involved with short selling shares of stock in their account.