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 Robert Vale | 4299030 | 2 | 09/26/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Allen James Long | 2458511 | 1 | 09/07/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Paul Louis Marrero | 2511783 | 1 | 08/24/2017 | Customer Dispute | Settled | $18,500.00 | $0.00 | See FINRA Report |
| Paul Stephen Masoner | 3195740 | 2 | 08/16/2017 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Richard David Mercado | 2302301 | 7 | 07/27/2017 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| Richard David Mercado | 2302301 | 7 | 07/26/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terence Lo | 2521586 | 5 | 07/10/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen James McRaven | 2521739 | 1 | 06/24/2017 | Customer Dispute | Settled | $6,346.00 | $0.00 | See FINRA Report |
| James Harris | 2107954 | 2 | 06/16/2017 | Customer Dispute | Denied | $19,568.00 | $0.00 | See FINRA Report |
| Robert Paul Friedman | 1101794 | 3 | 06/13/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |