Eccleston Law, LLC Secures Expungement of a Customer Complaint on Behalf of A Wells Fargo Financial Advisor

Posted on July 30th, 2015 at 2:45 PM
Eccleston Law, LLC Secures Expungement of a Customer Complaint on Behalf of A Wells Fargo Financial Advisor

Eccleston Law is pleased to announce an expungement of a customer claim filed in arbitration. In their reasoned award, the arbitrators found that the claimant was a sophisticated investor, the accounts for the claimant all were self-directed, and the purchase of the investment at issue was solely the claimant’s idea. Further, the claimant instructed the advisor to make the purchase, even though the advisor warned claimant several times regarding the high risk of the investment at issue. Additionally, the claimant also exhibited speculative, calculated, high risk, aggressive investment behavior at his other brokerage firms.

Finally, the arbitrators found that he advisor always maintained his innocence as to the claims.

See FINRA case No. 13-01981

 

Related Attorneys: James J. Eccleston

Tags: Eccleston Law LLC, James Eccleston, eccleston, Eccleston Law, cases, wells fargo,

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