Reynold Phillip Flom of Folsom California a stockbroker currently registered with Wells Fargo Clearing Services LLC is referenced in a customer initiated investment related written complaint which settled for $33,206.17 in damages on November 1, 2017 based upon allegations that on January 26, 2017, over-the-counter equities were sold from the customer’s account without the customer’s permission.
Financial Industry Regulatory Authority (FINRA) Public Disclosure also confirms that on March 4, 2002, a customer filed an investment related complaint involving Flom’s activities in which the customer requested damages estimated to exceed $5,000.00 founded on accusations that the customer was not provided information about the tax liability pertaining to fixed annuity and mutual fund liquidations.
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