Daniel Arthur Evans of Seattle, Washington, a stockbroker registered with Wells Fargo Clearing Services LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $10,000,000.00 in damages based upon allegations that Evans made unsuitable investment recommendations when Evans was associated with Wells Fargo Clearing Services LLC. FINRA Arbitration No. 21-03053 (December 17, 2021).
As of September 6, 2023, the matter remains pending.
This is not the first time that Evans has been referenced in a customer initiated investment related dispute concerning Evans’ conduct in the securities industry. FINRA Public Disclosure shows that Evans was also referenced in a customer initiated investment related complaint that was settled on May 2, 2003, for $80,000.00 in damages based upon allegations that Evans made omissions of material fact in connection with the sale of mutual funds during the time that Evans was associated with Salomon Smith Barney.
Evans has been associated with Wells Fargo Clearing Services LLC as a stockbroker and as an investment advisor representative since July 1, 2003.
