Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Wittpenn (Wittpenn), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wittpenn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $15,616.00 on March 07, 2025.
Clients complain Financial Advisors purchased discounted bonds without authorization, resulting in loss of state income tax benefit. (5/17/2022-3/7/2025)
