BENJAMIN DOMINGUEZ at WELLS FARGO CLEARING SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 7157543
BENJAMIN DOMINGUEZ is an Investment Adviser, associated with WELLS FARGO CLEARING SERVICES, LLC located at BREA, CA. BENJAMIN DOMINGUEZ’s Central Registration Depository (CRD) number is 7157543 and the FINRA Profile can be found at –

Disclosure #1 for BENJAMIN DOMINGUEZ

    • Event Date: 1/17/2007
    • Disclosure Type: Criminal
    • Disclosure Resolution: Final Disposition
    • Disclosure Detail :: Criminal Charges :: Charges: 484(A) PC MISD / Petty Theft
    • Disposition: Convicted
    • Amended Charges: The petition for dismissal of this conviction was GRATNED. Therefore this count to which I was convicted has since been dismissed.
    • Amended Charge Type: OTHER
    • Amended Charge Disposition: Dismissed Charges: 459 PC MISD / Burglary
    • Disposition: Dismissed
    • Broker Comment: Of the two counts that I was charged with, I pled o contest\ to only one of them (the other count was dismissed in pretrial hearings). I successfully completed all of the requirements of the court, and I submitted a motion to have this case expunged in JAN-2014. On 2/13/14 the court GRANTED my petition for dismissal. Effective of that date, it was thereby ordered that: the plea, verdict, or finding of guilt be set aside and vacated, and a plea of NOT GUILTY be entered. The count to which I was convicted is now DISMISSED.
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Should I file a FINRA complaint against brokers like BENJAMIN DOMINGUEZ?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by BENJAMIN DOMINGUEZ’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Originally reported on November 17, 2022 @ 9:40 pm

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