DID FRANK I-MIN WU CAUSE YOU INVESTMENT LOSSES?
Frank Wu Of Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Frank Wu of Wells Fargo Clearing Services, LLC?
Frank Wu (CRD #1613789) who is currently registered as a broker and investment adviser with Wells Fargo Clearing Services, LLC and located in Irvine, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Frank Wu was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Frank Wu Customer Complaints
Frank Wu has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was denied by Citigroup Global Markets and the investor took no further action. The other customer complaint evolved into a FINRA arbitration proceeding was filed against Wells Fargo Clearing Services for Frank I-Min Wu’s alleged misconduct and still pending.
Allegations Against Jack Yvars
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Overconcentration of customer’s accounts and high-risk equity funds which were not suitable based on the claimant’s age.
- Misrepresentations about nature, mechanics, and risks of Auction Rate securities.
Frank Wu Red Flags & Your Rights As An Investor
Of course, Frank Wu 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 Frank Wu at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Frank Wu has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC 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.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Frank Wu
If you have questions about Wells Fargo Clearing Services, LLC and/or Frank Wu 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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