Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Chapman (Chapman), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chapman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 27, 2025.
Client’s attorney complains that the Financial Advisor’s recommendation to sell securities to offset capital gains was unsuitable and requests that the trades be reversed. (12/31/2024-1/27/2025)
