Tag Archives: Daniel Fain

Wells Fargo Sued By Customer For Suitability

November 07, 2017  |   Posted by :   |   Over Concentration, Unsuitable Investment Recommendations   |   0 Comments

Daniel Fain, of Boca Raton, Florida, a stockbroker formerly registered with Wells Fargo Clearing Services, LLC, has been named in a customer initiated investment related arbitration claim, in which the customer requested $280,000.00 in damages based upon allegations that Fain concentrated the customers’ investments in unsuitable stocks. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-03290 […]

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