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James Stein Of Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct

Who is James Stein of Wells Fargo Clearing Services?

James Stein (CRD #725513) who is currently registered with Wells Fargo Clearing Services and located in Mountain Lakes, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.

James Stein Customer Complaint

James Stein has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were plaintiffs are Estate beneficiaries who alleged that several registered representatives breached their fiduciary duties to a former customer and his late wife by mismanaging their assets, permitting a third-party to transfer assets from their accounts, and executing transactions in their accounts that were not within the designated financial, investment, and estate planning objectives. The customer complaint filed against James Stein’s current employer Wells Fargo Clearing Services for investment losses caused by the alleged misconduct is pending as of the date of this report.

James Stein Red Flags & Your Rights As An Investor

Of course, James Stein 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 James Stein at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether James Stein 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 firm’s 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 James Stein

If you have questions about Wells Fargo Clearing Services and/or James Stein 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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