Daniel Todd Tompkins of Boca Raton Florida a stockbroker currently employed by Wells Fargo Clearing Services LLC is referenced in a customer initiated investment related written complaint on February 20, 2018 where the customer sought $200,000.00 in damages based upon accusations that on February 28, 2017, equities were sold from the customer’s investment portfolio without the customer’s permission.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on June 17, 2009, a customer filed an investment related complaint concerning Tompkins’ conduct in which the customer alleged that while Tompkins was associated with Citigroup Global Markets Inc, mutual fund and annuity transactions were executed in the customer’s investment portfolio which were unsuitable considering the customer’s financial status and age.
Additionally, on May 12, 2010, a customer initiated investment related complaint involving Tompkins’ conduct was settled for $20,000.00 in damages supported by accusations that unauthorized trades were placed in the customer’s account; the customer’s account was handled negligently; fiduciary duties had been breached; misrepresentations were made; and mutual fund, stock and variable annuity transactions were not suitable for the customer.
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