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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Timothy E Leroux | 4475118 | 1 | 08/05/2011 | Customer Dispute | Denied | $40,000,000.00 | $0.00 | See FINRA Report |
| Daphne McNair | 3105484 | 3 | 06/15/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas David Chin | 1315733 | 1 | 05/23/2011 | Customer Dispute | Settled | $839,315.00 | $0.00 | See FINRA Report |
| Ryan Stephen Spencer | 5299670 | 2 | 03/18/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clay Lynn Archey | 3248177 | 1 | 06/18/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Robert McLoughlin | 2451454 | 2 | 01/25/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kirk Jon Walske | 1902848 | 3 | 08/15/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |