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 |
|---|---|---|---|---|---|---|---|---|
| Daphne McNair | 3105484 | 3 | 03/21/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Russell Todd Clingman | 2596554 | 1 | 01/31/2014 | 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 | |
| Adrenia Kea | 2784348 | 2 | 07/23/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Theodore Wood | 6239080 | 1 | 07/17/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin J Farley | 5180217 | 1 | 05/09/2013 | Regulatory | Final | $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 |
| Kosta Tasoulis | 6634458 | 1 | 09/12/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Robert McLoughlin | 2451454 | 2 | 12/23/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michelle M Bodenshok | 4110361 | 1 | 12/23/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |