DID STEVEN MICHAEL POLK CAUSE YOU INVESTMENT LOSSES?
Steven Polk Of Wells Fargo Clearing Services And Formerly With Edward Jones Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Steven Polk of Wells Fargo Clearing Services?
Steven Polk (CRD #4568532) who is currently registered with Wells Fargo Clearing Services and located in Spring Hill, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Steven Polk was associated with Edward Jones and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Steven Polk Customer Complaints
Steven Polk has been the subject of 2 customer complaints that we know about. Both of Steven Polk’s customers’ complaints were denied and, to date, the customers have not taken any further action.
Allegations Against Steven Polk
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 Steven Polk failed to properly inform her of the tax consequences associated with the partial conversion of her traditional IRA to a Roth IRA.
- Client complained that Steven Polk allegedly sold all of her CDs without giving any advice or notice to her.
Steven Polk Red Flags & Your Rights As An Investor
Of course, Steven Polk 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 Steven Polk at Wells Fargo Clearing Services and Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Steven Polk 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 Edward Jones 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 Steven Polk
If you have questions about Wells Fargo Clearing Services, Edward Jones, and/or Steven Polk 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.