Ross Lionel Gordon of Raleigh North Carolina a stockbroker formerly employed by Wells Fargo Clearing Services LLC is referenced in a customer initiated investment related written complaint which was resolved for $10,000.00 on April 4, 2016 supported by accusations that between 2015 and 2016, the customer was placed into mutual fund investments that were inappropriate given the customer’s aversion to risk and conservative objectives for investing.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that another customer filed an investment related complaint concerning Gordon’s activities where the customer sought $250,000.00 in damages founded on allegations that while Gordon was associated with Wachovia Securities LLC, Gordon neglected to abide by the customer’s instructions concerning the purchases and sales of Ford bonds in the customer’s investment account; unsuitable trades were executed in the customer’s account resulting in excessive concentrations of the customer’s assets in the automotive sector; and transactions were effected without the customer’s permission.
Gordon’s registration with Wells Fargo Clearing Services LLC has been terminated as of November 9, 2017. Since then, Gordon has been associated with RBC Capital Markets LLC.
