Former Wells Fargo Clearing Services, LLC broker Carol Lemoult (CRD# 331681) faces customer complaints related to related to unsuitable investment recommendations. She was registered with Wells Fargo Clearing Services, LLC in Irvine, California, from 2011 to 2022.
Carol Lemoult Customer Complaints
She has been the subject of one customer complaint, according to his CRD report:
January 2023. “Claimant alleges her Financial Advisor (FA) overconcentrated her account(s) in high-risk equity funds not suitable based on Claimant’s age.” The customer is seeking $625,592.85 in damages, and the case is currently pending.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Wells Fargo Clearing Services, LLC may be liable for investment or other losses suffered by Carol Lemoult’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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