DID STEVEN ANDREW RODMAN CAUSE YOU INVESTMENT LOSSES?
Steven Rodman Of Wells Fargo Clearing Services And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Steven Rodman of Wells Fargo Clearing Services?
Steven Rodman (CRD #4325227) who is currently registered with Wells Fargo Clearing Services and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, Steven Rodman was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Steven Rodman Customer Complaints
Steven Rodman 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. Both of Steven Rodman’s customers’ complaints were denied and, to date, the customers have not taken any further action.
Allegations Against Steven Rodman
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, inter alia, Steven Rodman’s misrepresentation with respect to annuity features.
- Clients alleged, inter alia, that their investments in energy stocks were misrepresented by Steven Rodman.
Steven Rodman Red Flags & Your Rights As An Investor
Of course, Steven Rodman 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 Rodman at Wells Fargo Clearing Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Steven Rodman 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 Morgan Stanley 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 Rodman
If you have questions about Wells Fargo Clearing Services, Morgan Stanley, and/or Steven Rodman 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.