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Bruce Roberts Of Wells Fargo Clearing Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Bruce Roberts of Wells Fargo Clearing Services, LLC?

Bruce Roberts (CRD #1540198) who is currently registered Wells Fargo Clearing Services, LLC and located in Aventura, Florida is a subject of one of our many securities industry sales practice abuse investigations.

Bruce Roberts Customer Complaints

Bruce Roberts has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Bruce Roberts’ 3 customer complaints were settled in favor of investors. One of Bruce Roberts’ customer complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Bruce Roberts  

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Illiquidity of auction rate securities.
  • Misrepresentations related to the liquidity of auction rate securities and closed-end funds.
  • Failure to follow customers liquidation instructions.

Bruce Roberts Red Flags & Your Rights As An Investor

Of course, Bruce Roberts did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Bruce Roberts at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Bruce Roberts has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Bruce Roberts

If you have questions about Wells Fargo Clearing Services, LLC and/or Bruce Roberts and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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