Investors potentially experienced sales practice violations by securities broker Steven Charles Flahive [CRD: 2674387, San Francisco, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Steven Flahive worked for Wells Fargo Clearing Services LLC from January 21, 2016, to January 3, 2024. Investors are encouraged to continue reading to discover more about Steven Flahive’s disclosures.
Specifically, a Wells Fargo client filed FINRA Arbitration No. 23-03518 about Steven Flahive. Primarily, the client alleged that Flahive charged excessive commissions by no longer following an agreement about commissions, which allegedly resulted in overcharges. For this reason, the client allegedly sustained damages. As a result, on December 12, 2024, a FINRA Arbitration Panel issued the client an Award of $300,987 in damages.
Particularly, a client of Credit Suisse Securities (USA) LLC contested Steven Flahive’s sales practices, according to a complaint dated March 23, 2016. Allegedly, Flahive made unsuitable recommendations and omissions. The client also alleged a corporate bond purchase was made without her authorization. It appears that Flahive allegedly caused the client to sustain damages associated with the corporate bonds. Therefore, the client sought compensation from Credit Suisse or Flahive in this matter. However, the firm denied this complaint.
Do you need clarification on any investment losses relating to Steven Flahive? Reach out to Soreide Law Group at (888) 760-6552 or online and speak to a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Flahive and the brokerage firms Flahive worked for deny allegations of sales practice violations.
CLIFFORD RONALD REID (CLIFFORD R REID) was previously registered with REID RUDIGER LLC of New York, NY from 10/06/1999 - 04/30/2026. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, CLIFFORD R REID has 34 years of experience in the securities industry and was listed as a broker with 4 firms. Reid is […]
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