Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zachary Harless (Harless), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harless 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 $320,000.00 on October 20, 2023.
Authorized party complained that financial advisor recommended improper asset allocation for account owners’ age bracket, resulting in losses. (8/28/2020-9/4/2023)