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.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com