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 |
|---|---|---|---|---|---|---|---|---|
| Matt Depalma | 4048589 | 1 | 10/03/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Wickham | 1691292 | 3 | 08/07/2019 | Customer Dispute | Denied | $41,000.00 | $0.00 | See FINRA Report |
| Kenneth Schmiedbauer | 1106079 | 1 | 06/06/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lisa Schmiedbauer | 1465195 | 1 | 06/06/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Bryan Austin | 4729693 | 5 | 05/17/2019 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Justin Joseph Lotano | 5120722 | 1 | 04/17/2019 | Customer Dispute | Denied | $36,000.00 | $0.00 | See FINRA Report |
| Wesley Wong | 2202301 | 2 | 03/03/2019 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Kevin Mounkes | 2915756 | 1 | 02/24/2019 | Customer Dispute | Settled | $23,568.80 | $0.00 | See FINRA Report |
| R Kim Carson | 5310367 | 1 | 01/10/2019 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Arthur Kelley Shooter | 2114839 | 2 | 12/21/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |