Thomas Windsor: $1mm Complaint Against Wells Fargo Advisor

Irvine, California financial advisor Thomas Windsor (CRD# 6671276) recently received an investor complaint alleging that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Wells Fargo Clearing Services and Wells Fargo Advisors, respectively.

Mr. Windsor’s BrokerCheck report discloses one investor complaint. Filed in June 2025, it alleges that as a representative of Wells Fargo Clearing Services, he failed to follow instructions in connection with miscellaneous investments. The pending complaint alleges more than $1 million in damages.

FINRA Rule 2010 states that FINRA-associated brokers must “observe high standards of commercial honor and just and equitable principles of trade.” Various forms of unethical conduct, including the failure to follow a customer’s directions, constitute violations of FINRA Rule 2010, provided the activities occur “in the conduct of [the member’s] business.” Brokers who violate Rule 2010 may be found liable for damages in the event of losses. They may also be subject to disciplinary action by their member firm or securities regulators.

According to the Financial Industry Regulatory Authority, Thomas Windsor holds eight years of securities industry experience. Based in Irvine, California, he has been registered as a broker with Wells Fargo Clearing Services since 2016 and an investment advisor with Wells Fargo Advisors since 2017. His credentials include the passage of three securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7. He is licensed in Arizona, California, Colorado, Connecticut, Delaware, Florida, Massachusetts, Missouri, Montana, Nevada, New Mexico, New York, North Carolina, Oregon, Rhode Island, Tennessee, Texas, Utah, Washington, and Wyoming. (Information current as of September 20, 2025.)

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