| Read Time: 2 minutes | Stifel Nicolaus Complaints | Wells Fargo Advisors Complaints |

It is very important for all to know as much as possible about the individuals with whom we trust with our finances. There are a variety of resources where you can discover information about background, including, past employment history, regulatory disciplinary proceedings, and customer complaints.

If you are reading this, you may be concerned about Charles Fenner and investment losses you have incurred. We’ll do everything we can to answer any questions you have.


Charles Fenner Of Wells Fargo Clearing Services, LLC And Formerly With Stifel, Nicolaus & Company, Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Charles Fenner of Wells Fargo Clearing Services, LLC?

Charles Fenner (CRD #206237) who is currently registered with Wells Fargo Clearing Services, LLC and located in Metairie, Louisiana is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Wells Fargo Clearing Services, LLC, Charles Fenner was associated with Stifel, Nicolaus & Company, Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Charles Fenner Customer Complaints

Charles Fenner has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of Charles Fenner’s customer complaints were settled in favor of investors.

Allegations Against Charles Fenner

A sample of the allegations made in the FINRA reported federal court and arbitration pending complaints for investment losses are as follows:

  • Breach of fiduciary duty, misrepresentation and failures to disclose, negligence and gross negligence, and violations of the Louisiana securities laws related to investments in the oil and gas sector.
  • Unauthorized liquidation of all assets and clients accounts.

Charles Fenner Red Flags & Your Rights As An Investor

Of course, Charles Fenner 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 Charles Fenner at Wells Fargo Clearing Services, LLC and Stifel, Nicolaus & Company, Incorporated on alert to review carefully the activity and performance of their accounts and question whether Charles Fenner 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 and Stifel, Nicolaus & Company, Incorporated 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 Charles Fenner

If you have questions about Wells Fargo Clearing Services, LLC, Stifel, Nicolaus & Company, Incorporated, and/or Charles Fenner 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.

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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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