Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wells Fargo Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Charles Robert Landry | 4893896 | 1 | 12/23/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Shenise | 2626656 | 1 | 11/20/2012 | Customer Dispute | Settled | $995,493.00 | $0.00 | See FINRA Report |
| Timothy E Leroux | 4475118 | 1 | 08/05/2011 | Customer Dispute | Denied | $40,000,000.00 | $0.00 | See FINRA Report |
| Douglas David Chin | 1315733 | 1 | 05/23/2011 | Customer Dispute | Settled | $839,315.00 | $0.00 | See FINRA Report |
| Scott Thomas Dorsey | 3205238 | 1 | 06/16/2009 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| Kirk Jon Walske | 1902848 | 3 | 07/16/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Scott Paul | 2978294 | 1 | 07/08/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Lawrence Whitesides | 2875622 | 1 | 04/29/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Kirk Jon Walske | 1902848 | 3 | 04/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patricia Bridget Hawkins | 2011980 | 1 | 12/16/2005 | Customer Dispute | Settled | $20,855.00 | $0.00 | See FINRA Report |