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Frank Ortiz Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Frank Ortiz of Wells Fargo Clearing Services?

Frank Ortiz (CRD #2466113) who is currently registered with Wells Fargo Clearing Services and located in Montebello, California is a subject of one of our many securities industry sales practice abuse investigations.

Frank Ortiz Customer Complaints

Frank Ortiz has been the subject of 2 customer complaints that we know about. One of Frank Ortiz’s 2 customer complaints was settled in favor of investors. One of Frank Ortiz’s customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Frank Ortiz

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

  • Client alleged Frank Ortiz did not invest his money safely.
  • Plaintiff alleged that Frank Ortiz did not disclose the risks associated with the prior FA’s involvement with the investment account.

Frank Ortiz Red Flags & Your Rights As An Investor

Of course, Frank Ortiz 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 Frank Ortiz at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Frank Ortiz 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 Frank Ortiz

If you have questions about Wells Fargo Clearing Services and/or Frank Ortiz 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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