KRISTEN JANE MAHAN at WELLS FARGO CLEARING SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5677947
KRISTEN JANE MAHAN is an Investment Adviser, associated with WELLS FARGO CLEARING SERVICES, LLC located at ALBANY, NY. KRISTEN MAHAN’s Central Registration Depository (CRD) number is 5677947 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for KRISTEN MAHAN

    • Event Date: 5/22/2015
    • Disclosure Type: Customer Dispute
    • Resolution: Settled
    • Allegations: CLIENT ALLEGES TRADES WERE PLACED WITHOUT HIS AUTHORIZATION. (01/22/2014)
    • Damage Amount Requested: $9,526.00
    • Settlement Amount: $300.00
    • Arbitration Docket Number:
    • Broker Comment: This matter was settled with my approval, although I deny any and all allegations. The accommodation was a nominal reimbursement to the client of the $300 fee he paid his CPA to file the amended tax return.


Should I file a FINRA complaint against brokers like KRISTEN JANE MAHAN?

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 KRISTEN JANE MAHAN’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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Frequently Asked Questions About KRISTEN JANE MAHAN

What is KRISTEN MAHAN's Central Registration Depository (CRD) Number?

5677947

Which firm is KRISTEN JANE MAHAN associated with?

WELLS FARGO CLEARING SERVICES, LLC

Where is KRISTEN MAHAN located?

4 TOWER PL, ALBANY, NY, 12203

Where can I find more details about KRISTEN MAHAN's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/19616 to read a detailed report for WELLS FARGO CLEARING SERVICES, LLC

Are there any disclosures, allegations or complaints filed against KRISTEN JANE MAHAN?

Yes. There are disclosures, allegations, or complaints filed against KRISTEN JANE MAHAN. Click here to view all details

Where can I download a detailed FINRA report for KRISTEN MAHAN?

Click here to download a detailed FINRA report for KRISTEN MAHAN

Is it safe to do business with KRISTEN JANE MAHAN?

We’re not sure. Please research KRISTEN MAHAN’s disclosures, allegations and complaints before taking a decision


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