Steven Robert Tomlinson, of Elmira, New York, a stockbroker formerly registered with Wells Fargo Advisors, LLC, is the subject of a customer initiated investment related arbitration claim on May 16, 2017, in which the customer requested damages estimated at $5,000.00 in damages based upon allegations that Tomlinson effected unsuitable transactions in the customer’s account between 2011 and 2015.
Tomlinson was previously fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity pursuant to a Federal Court Decision containing findings that Tomlinson, while associated with Wells Fargo Advisors and Raymond James Financial Services, Inc., took possession of unauthorized customer documentation. Summary Order, Case No. 15-447 (Mar. 9, 2016).
Guiliano Law Group
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