Brian Turner Investigation
August 2022-Ellicott City, MD
The FINRA records of Brian C. Turner, a Wells Fargo Clearing Services broker discloses a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In November of 2021, FINRA case#21-02700 was filed by a Wells Fargo Clearing Services customer alleging unsuitable stock recommendations and is seeing an unspecified amount of damages. The case is still pending.
Turner has been with Wells Fargo Clearing Services since February of 2009. Before that time he was with UBS Financial Services.
If you have losses in an account handled by Brian Turner call to learn how you may be entitled to collect damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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