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Christopher Cochrane Of Wells Fargo Clearing Services Has 8 Customer Complaints For Alleged Broker Misconduct

Who is Christopher Cochrane of Wells Fargo Clearing Services?

Christopher Cochrane (CRD #2121318) who is currently registered with Wells Fargo Clearing Services and located in Appleton, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations.

Christopher Cochrane Customer Complaints

Christopher Cochrane has been the subject of 8 customer complaints that we know about. Seven of Christopher Cochrane’s 8 customer complaints were settled in favor of investors. One of Christopher Cochrane’s customer complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Christopher Cochrane

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

  • Claimant alleged that Christopher Cochrane was part of a team that over-concentrated her portfolio in unsuitable investments.
  • Claimant alleged violation of the Wisconsin Uniform Securities Law; common law fraud and misrepresentation; violation of NASD Conduct Rules 2110, 2120, 2310 and 3010; breach of fiduciary duty; negligence; and negligent supervision allegedly committed by Christopher Cochrane.
  • Client alleged that Christopher Cochrane recommended the client invest half her portfolio in high risk energy stocks.
  • Client alleged Christopher Cochrane’s unsuitable energy investments.
  • Client verbally alleged that she lost money and told Christopher Cochrane she wanted more diversity in her accounts and he failed to follow her instructions.
  • Client verbally alleged Christopher Cochrane did not properly represent the risk of a position held within the account.

Christopher Cochrane Red Flags & Your Rights As An Investor

Of course, Christopher Cochrane 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 Christopher Cochrane at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Christopher Cochrane has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services 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 Due To Christopher Cochrane

If you have questions about Wells Fargo Clearing Services and/or Christopher Cochrane 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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