Investors potentially experienced sales practice violations due to securities broker Amanda Nicole Wiggins (also known as Amanda Nicole Sosa) [CRD: 5526300, Fort Worth, Texas], based on disclosures through FINRA’s BrokerCheck. Wiggins has been registered with Wells Fargo Clearing Services LLC since December 2, 2014, and with Wells Fargo Advisors since January 6, 2020. Below, you can discover more about the investor dispute involving Wiggins and the allegations of wrongdoing.
Particularly, on February 26, 2025, a Wells Fargo Clearing Services LLC client filed FINRA Arbitration No. 25-00174 about Amanda Wiggins. The client alleged that Wiggins and others collectively made unsuitable trades and engaged in unauthorized trading between 2021 and 2022. Because of this, the client allegedly sustained damages from miscellaneous investments. Therefore, the client requested approximately $965,252 in compensation from Wells Fargo Clearing Services LLC or Wiggins. Evidently, this arbitration is pending a resolution.
Unsuitable trading happens when a securities broker recommends or executes trades that do not align with the investor’s needs, goals, or risk tolerance. Brokers are required by regulation to make recommendations that are in the best interest of their clients. If the trades are excessive, too risky, or not aligned with the investor's financial profile, they can cause significant losses. When this happens, it may give rise to claims of misconduct and lead to legal action.
Are you concerned regarding investments you made with Amanda Wiggins? You can get in touch with Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, takes cases on a contingency fee basis, and advances all costs. Wiggins and brokerage firms Wiggins worked for deny accusations of sales practice violations.
KEVIN CHRISTOPHER MCCARTHY (KEVIN C MCCARTHY) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/7/2026. McCarthy was registered as a broker with MADISON AVENUE SECURITIES LLC of Hialeah, Florida, from 12/04/2007 - 01/30/2026. McCarthy was previously registered both as a broker […]
Investors might have sustained losses due to securities broker William H. Grant [CRD: 4219455, Duluth, Georgia], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Grant has been registered with Merrill Lynch since October 23, 2009, as both a securities broker and financial advisor. Investors are encouraged to continue reading to find […]
Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]
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