Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Giampe (Giampe), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Giampe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 14, 2025.
Claimant alleges that at the end of January 2024, the FA failed to execute the transactions requested via email and instead the cash was swept to Wells Fargo’s bank deposit program without the Claimant’s authorization.
