DID CAROL ANN LEMOULT CAUSE YOU INVESTMENT LOSSES?
Carol Lemoult Formerly Wells Fargo Clearing Services, LLC Has A Customer Complaint For Alleged Broker Misconduct
About Carol Lemoult formerly with Wells Fargo Clearing Services?
Carol Ann Lemoult (CRD #331681) with a career spanning several decades, is no longer a registered broker. Her professional timeline includes stints at major firms such as Wells Fargo Clearing Services, Morgan Stanley Smith Barney, and Citigroup Global Markets, indicating a potentially stable career. However, she has never passed any principal/supervisory exams, despite passing six general industry/product exams and two multi-state securities law exams.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Carol Lemoult Customer Complaint and Reviews
Carol Lemoult’s career is marred by a significant customer dispute:
- Overconcentration in High-Risk Equity Funds: This accusation involves the inappropriate placement of client assets into high-risk investments, which were allegedly unsuitable based on the client’s age and risk profile.
Allegations Against Carol Lemoult
The specific allegations against Lemoult include:
Misrepresentation and Unsuitability: The pending allegations against Lauer involve claims of providing unsuitable investment advice and misrepresenting the risks and benefits of an options overlay strategy. The ongoing FINRA arbitration will further determine the veracity and impact of these claims.
Carol Lemoult Red Flags & Your Rights As An Investor
Of course, Carol Lemoult 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 Carol Lemoult at Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Carol Lemoult has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services 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 Carol Lemoult
If you have questions about Wells Fargo Clearing Services and/or Carol Lemoult 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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