Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lewis (Lewis), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lewis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 30, 2024.
Customer verbally complained that financial advisor neglected to change Investment Objective of managed portfolio and client lost opportunity gain as a result. (10/1/2023-8/30/2024)
