Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Flowers (Flowers), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Flowers recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 19, 2024.
Plaintiff alleges that the financial advisor exploited an elderly client by improperly making herself the joint accountholder and beneficiary for certain of the client’s bank accounts
