Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wells Fargo Advisors Financial Network, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| James Hunter Dryden | 1717900 | 1 | 09/09/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Sanderson | 1705784 | 4 | 07/09/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jaime Estrada | 5852546 | 1 | 06/18/2024 | Customer Dispute | Pending | $67,000.00 | $0.00 | See FINRA Report |
| Kyle Gibson Crilow | 6715311 | 1 | 06/10/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Hefter | 1231717 | 1 | 05/23/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dathan Everett Lumpkins | 4697042 | 2 | 05/21/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Yale Frank | 723283 | 3 | 05/13/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Bryce Collins | 3031534 | 1 | 03/19/2024 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Douglas Mark Frizzell | 2630044 | 1 | 03/13/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Oates | 4124985 | 1 | 02/19/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |