Mitchell Rock: Investors Allege Unsuitability, Misrepresentation by Wells Fargo Rep

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2018 indicate that New York-based Wells Fargo Clearing Services broker/adviser Mitchell Rock has been involved in customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rock (CRD# 1451592). Mitchell Rock has spent 31 years in the securities industry and has been registered with Wells Fargo Clearing Services in New York, New York since August 2016. Previous registrations include Morgan Stanley & Company in New York, New York (2008-2009); UBS Financial Services in New York, New York (2000-2008); CIBC World Markets Corporation in New York, New York (1993-2000); Merrill Lynch in New York, New York (1992); Dubin & Swieca Securities in New York, New York (1991); Lehman Brothers in New York, New York (1988-1991); and EF Hutton & Company (1986-1988). He has passed four securities industry examinations: Series 65…

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