Brian Patrick Wells of Philadelphia Pennsylvania a stockbroker formerly registered with MSI Financial Services Inc. is referenced in a customer initiated investment related written complaint on March 1, 2017 in which the customer requested damages estimated to exceed $5,000.00 in damages based upon allegations that the customer was poorly advised concerning the purchases of a variable annuity and indexed annuity while Wells was associated with the firm.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on October 14, 2002, a customer initiated investment related complaint involving Wells’ activities was resolved for $16,539.37 in damages founded on accusations that Wells made misrepresentations to the customer concerning mutual funds purchased by the customer while he was associated with AXA Advisors.
Wells was terminated by MSI Financial Services Inc. on July 25, 2016. Since July 22, 2016, Wells has been employed by AXA Advisors, LLC.
