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 |
|---|---|---|---|---|---|---|---|---|
| Ashley Walsh | 5288327 | 1 | 02/24/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Stewart Boshart | 2439682 | 1 | 06/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Suzanne Drake Landini | 3203380 | 1 | 07/07/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daphne McNair | 3105484 | 3 | 03/21/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daphne McNair | 3105484 | 3 | 08/08/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daphne McNair | 3105484 | 3 | 06/15/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clay Lynn Archey | 3248177 | 1 | 06/18/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lemmy Ndegwa | 5096912 | 1 | 12/20/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |