Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wells Fargo Clearing Services, 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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Dyer Queen | 2703908 | 2 | 12/07/2021 | Customer Dispute | Award / Judgment | $0.00 | $54,000.00 | See FINRA Report |
| Frederick Robert Hughes | 5024387 | 1 | 09/21/2020 | Customer Dispute | Award / Judgment | $0.00 | $450,000.00 | See FINRA Report |
| Alfonso Allen Gialanella | 2988940 | 1 | 09/13/2019 | Customer Dispute | Award / Judgment | $65,000.00 | $43,000.00 | See FINRA Report |
| Harold Douglas McCoy | 2710694 | 5 | 09/11/2019 | Customer Dispute | Award / Judgment | $33,000.00 | $0.00 | See FINRA Report |
| Robert Glenn Kaiser | 2193621 | 2 | 11/11/2018 | Customer Dispute | Award / Judgment | $40,851.40 | $0.00 | See FINRA Report |
| Daniel Andrew Rosengarten | 6484210 | 1 | 11/11/2018 | Customer Dispute | Award / Judgment | $40,851.40 | $0.00 | See FINRA Report |
| Karl Pettijohn | 1453775 | 2 | 05/23/2017 | Customer Dispute | Award / Judgment | $5,000.00 | $211,148.00 | See FINRA Report |
| Stephen Ray Bowman | 729082 | 1 | 10/06/2016 | Customer Dispute | Award / Judgment | $500,000.00 | $37,170.00 | See FINRA Report |
| Marc Francis Rogers | 1008145 | 6 | 05/05/2016 | Customer Dispute | Award / Judgment | $0.00 | $4,179,120.00 | See FINRA Report |
| Jeffrey Randolph Wilson | 1161819 | 4 | 05/03/2016 | Customer Dispute | Award / Judgment | $1,000,000.00 | $357,000.00 | See FINRA Report |