Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Bromfield Day (Bromfield Day), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bromfield Day recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.
Claimant alleges that from 2021 through 2022, the registered rep was part of a team that made unsuitable investments and unauthorized trading which resulted in losses.
