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Michael Hartman Of Wells Fargo Clearing Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Michael Hartman of Wells Fargo Clearing Services?

Michael Hartman (CRD #3106810) who is currently registered with Wells Fargo Clearing Services and located in Brandon, Florida is a subject of one of our many securities industry sales practice abuse investigations.

Michael Hartman Customer Complaints

Michael Hartman has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Michael Hartman’s 2 customer complaints was settled in favor of investors. One of Michael Hartman’s customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Michael Hartman

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 that they informed Michael Hartman they could not afford to lose their principal and claim they believed they were not invested into the market.
  • Client complained that Michael Hartman allegedly failed to inform her that a ROTH IRA cannot be funded with income that has been received via the Foreign Earned Exchange Income tax credit, which resulted in a tax liability.

Michael Hartman Red Flags & Your Rights As An Investor

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

If you have questions about Wells Fargo Clearing Services and/or Michael Hartman 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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