Douglas L. Goss of Tulsa Oklahoma a stockbroker formerly employed by Wells Fargo Advisors is referenced in a customer initiated investment related written complaint on July 10, 2019 where the customer requested damages estimated to exceed $5,000.00 supported by allegations that between June 14, 2013 and July 10, 2019, trades were effected in the customer’s account in excessive amounts.
This is not the first time that Goss has been accused of inappropriate trading by a customer of a securities broker dealer. In particular, Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that a customer initiated investment related arbitration claim concerning Goss’ conduct was settled for $65,000.00 in damages founded on accusations that during the time that Goss was associated with Prudential Securities, he misrepresented information pertaining to the customer’s brokerage account and caused unauthorized mutual fund or stock trades to be executed.
Goss’ registration with Wells Fargo was terminated as of January 6, 2017.
