Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 1, 2016 indicate that New York-based Wells Fargo broker/adviser Evan Wuhl has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wuhl (CRD# 867812).
Evan Wuhl has spent 37 years in the securities industry and has been registered with Wells Fargo Advisors in New York, New York since 2011. Previous registrations include UBS Financial Services in Paramus, New Jersey; Wachovia Securities in New York, New York (2003-2008); Prudential Securities in New York, New York; Painewebber in Weehawken, New Jersey; Smith Barney, Harris Upham & Company in New York, New York; Drexel Burnham Lambert; Oppenheimer & Company; and Bache Halsey Stuart. He is a registered broker and investment adviser with 23 US states and territories: Arkansas, California, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Illinois, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Jersey, New York, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, and Virginia.
According to his BrokerCheck report, Evan Wuhl has been the subject of eleven customer complaints and resigned from his position at UBS Financial Services.
In 2012 a customer alleged Evan Wuhl, while employed at UBS Financial Services, recommended an unsuitable exchange-traded fund and executed an unauthorized liquidation of the position. The complaint settled in 2013 for $220,000.
In 2011 a customer alleged Evan Wuhl, while employed at UBS Financial Services, made unsuitable investment recommendations. The complaint settled for $95,000.
In 2011 he submitted his “voluntary resignation” from UBS Financial Services following allegations he “worked client orders inconsistent with firm policy and/or industry rules.”
In 2010 a customer alleged he, while employed at UBS Financial Services, made unsuitable recommendations and effected unauthorized transactions. The complaint settled in 2013 for $2,500,000.
In 2010 a customer alleged he, while employed at UBS Financial Services, made unsuitable investment recommendations. The complaint settled in 2011 for $175,000.
In 2009 a customer alleged he, while employed at UBS Financial Services, recommended unsuitable investments and executed unauthorized trades. The complaint settled in 2010 for $135,000.
If you have complaints regarding Evan Wuhl, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recover your losses. All cases are taken on a contingency basis: we only get paid if and when you collect money. The law sets a limited window to file complaints, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.