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Massimo Romano Of Wells Fargo Clearing Services And Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Massimo Romano of Wells Fargo Clearing Services?

Massimo Romano (CRD #4324267) who is currently registered with Wells Fargo Clearing Services and located in Woodbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Massimo Romano was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Massimo Romano Customer Complaint

Massimo Romano 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 claimants alleged that Massimo Romano made unauthorized trades, executed unnecessary annuity switches, and misrepresented facts about withdrawals claimants made from their accounts. The period of time encompassing the alleged sales practice issues is not specified by claimants. Massimo Romano’s customer complaint was settled in favor of the investors.

Massimo Romano Red Flags & Your Rights As An Investor

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

If you have questions about Wells Fargo Clearing Services, UBS Financial Services, and/or Massimo Romano 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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