DID STEVEN SCOTT GOODELL CAUSE YOU INVESTMENT LOSSES?
Steven Goodell Of Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct
About Steven Goodell of Wells Fargo Clearing Services, LLC?
Steven Goodell (CRD #5794800) has been with Wells Fargo Clearing Services, LLC since February 2014, operating out of Boulder, CO. Despite his extensive registration across 26 U.S. states and territories, Goodell’s career is blemished by a customer dispute that was ultimately closed with no action, which could still raise concerns about his business practices. He has passed only two general industry/product exams and one multi-state securities law exam, indicating a basic but not extensive formal qualification in the financial industry.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Steven Goodell Customer Complaint and Reviews
- Customer Dispute (Closed-No Action)
- Date Complaint Received: April 27, 2023
- Allegations: The daughter of a client complained that Goodell failed to follow instructions to liquidate an annuity, resulting in adverse tax consequences for the client.
- Product Type: Self-Directed Fee-Based Accounts (non-managed)
- Alleged Damages: $51,216.30
- Outcome: The complaint was denied on July 18, 2023, with no action taken. This type of resolution might leave some investors wondering about the accuracy and responsiveness of Goodell’s service.
Allegations Against Steven Goodell
Steven S. Goodell was accused of not following a client’s instructions to liquidate an annuity, allegedly causing financial harm due to adverse tax implications. This dispute, though resolved without action, points to potential issues with client communication and order execution, aspects critical to maintaining trust and ensuring client satisfaction in the financial advisory field. Such allegations, even when denied, can tarnish a broker’s reputation.
Steven Goodell Red Flags & Your Rights As An Investor
Of course, Steven Goodell did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Steven Goodell at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Steven Goodell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Wells Fargo Clearing Services, LLC Due To Steven Goodell
If you have questions about Wells Fargo Clearing Services, LLC and/or Steven Goodell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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