Articles Tagged with Wells Fargo Clearing Services

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amanda Wiggins (Wiggins), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wiggins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.

Claimant alleges that from 2021 through 2022, the registered rep was part of a team that made unsuitable investments and unauthorized trading which resulted in losses.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Bromfield Day (Bromfield Day), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bromfield Day recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.

Claimant alleges that from 2021 through 2022, the registered rep was part of a team that made unsuitable investments and unauthorized trading which resulted in losses.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Connolly (Connolly), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Connolly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 26, 2025.

Claimant alleges that from 2021 through 2022, the FA made unsuitable investments and unauthorized trading which resulted in losses.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yuting Cheng (Cheng), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cheng recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Xiangyu Zhang (Zhang), previously associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Zhang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Theuerkauf (Theuerkauf), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Theuerkauf 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)

Continue Reading

| by

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)

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Higgins (Higgins), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Higgins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 09, 2024.

Customer complained that the financial advisor re-purchased securities without first confirming information with customer, resulting in loss of tax credits. (8/8/2024-8/9/2024)

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Wise (Wise), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wise recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 12, 2024.

In or about August 2021, Claimants allege that the financial advisor made unsuitable investments.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rose (Rose), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rose recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 12, 2024.

In or about August 2021, Claimants allege that the financial advisor made unsuitable investments.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2025, Gana Weinstein LLP
JUSTIA Law Firm Blog Design
Please enter your namePlease enter your valid emailPlease enter your phone
Powered by
logo image
Dark mode

Liveadmins