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 |
|---|---|---|---|---|---|---|---|---|
| Scott Inglis Beveridge | 5804126 | 1 | 04/22/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel J Willett | 4700302 | 1 | 03/02/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Christopher Barr | 4565755 | 1 | 02/07/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Frank Ricketts | 3073353 | 1 | 05/24/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Joseph Sielen | 2533949 | 1 | 12/20/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Scott van Bergh | 1074944 | 1 | 08/01/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Tom | 2636365 | 2 | 10/10/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Paul Andrew | 6639718 | 1 | 05/21/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Billy Marlow | 1843866 | 1 | 06/08/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clayton M Meertins | 5302307 | 1 | 04/16/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |