Dean Thompson Has An Investor Complaint – May Recover Investor Losses

Dean Thompson Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses

WELLS FARGO CLEARING SERVICES, LLC Investment Adviser, Dean Thompson has an investor complaint. 

CRD#: 2162039
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.  

DEAN MITCHELL THOMPSON (CRD#: 2162039), a registered broker for WELLS FARGO CLEARING SERVICES, LLC in Pleasanton, CA, has a denied investor complaint.  According to Thompson’s FINRA BrokerCheck report, Customer complained that portfolio changes made without authorization caused losses and that fees were charged for these transactions. (10/13/2022-11/17/2023).   The customer requested $125,262.79 for alleged damages.   The claim was denied.

According to FINRA, an investment professional and their firm may decide that the customer’s complaint is unfounded and determine to “deny” the complaint. In such cases, the disposition on BrokerCheck will reflect “denied.” A customer may then decide to seek compensation for damages by filing a claim in arbitration. Alternatively, an investment professional and their firm may determine to settle a complaint by, for example, paying compensation to the customer. The existence of a complaint does not mean the investment professional did anything wrong. Similarly, a denial of wrongdoing by the investment professional does not always mean a complaint was unfounded.


CRD#: 2162039

Dean Thompson has a denied customer complaint.

Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.

St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors.  The  firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.

Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.

We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.

There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.

If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.

Some of the information in this blog post was obtained from FINRA on 4/01/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

Contact Us Today!

1 Step 1
FormCraft - WordPress form builder