Amanda Wiggins Allegedly Executed Unauthorized Trades

Amanda Wiggins (CRD #: 5526300), a broker registered with Wells Fargo Clearing Services, is involved in an investor dispute, according to her BrokerCheck record, accessed on May 14, 2025. Investors may have also worked with her through Wells Fargo Advisors. If you have questions about her alleged conduct as a broker, keep reading.

Investor Dispute

On February 26, 2025, an investor filed a dispute alleging that Amanda Wiggins acted as part of a team that, from 2021-2022, executed unauthorized trades and made unsuitable investments. This dispute is currently pending.

FINRA Rule 3260

FINRA Rule 3260 requires brokers to receive written authorization from their clients before engaging in discretionary trading. The firm must also approve the designation of an account as discretionary before this trading can occur.

FINRA Rule 2111

FINRA Rule 2111 requires that brokers tailor their investment recommendations to an investor’s profile, which contains information about their risk tolerance, tax status, financial goals, and other characteristics.

Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.

Background Information

Amanda Wiggins has passed the following exams:

• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Amanda Wiggins is a registered broker in 38 states and the District of Columbia. She is also a registered investment adviser in Texas.

She has also worked for Fidelity Brokerage Services (CRD#:7784).

Kurta Law Can Help

If you worked with Amanda Wiggins and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.