DID MARC JOHN SPIEGEL CAUSE YOU INVESTMENT LOSSES?

Mark Spiegel Of Wells Fargo Clearing Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Mark Spiegel of Wells Fargo Clearing Services, LLC?

Mark Spiegel (CRD #844632) who is currently registered as a broker and investment adviser with Wells Fargo Clearing Services, LLC and located in Woodland Hills, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wells Fargo Clearing Services, LLC, Mark Spiegel was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Mark Spiegel Customer Complaints

Mark Spiegel has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by the broker in favor of the investor. Wells Fargo Advisors recently denied the other customer complaint and to date, does not appear that the investor has taken any further action.

Allegations Against Mark Spiegel

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

• The customer was taken advantage of by her representative in connection with an equity listed annuity investment.
• Dissatisfaction with Global Bond fund investment holding Mexican bonds.

Mark Spiegel Red Flags & Your Rights As An Investor

Of course, Mark Spiegel 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 Mark Spiegel at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Spiegel 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 Mark Spiegel

If you have questions about Wells Fargo Clearing Services, LLC and/or Mark Spiegel 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.

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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