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 |
|---|---|---|---|---|---|---|---|---|
| Wayne St John Hemans | 2333720 | 3 | 06/17/1999 | Customer Dispute | Award / Judgment | $22,850.00 | $0.00 | See FINRA Report |
| Stephen Gene Mestres | 1336041 | 1 | 06/08/1999 | Customer Dispute | Award / Judgment | $10,874.90 | $1,725.00 | See FINRA Report |
| Brainard Henry Warner | 1559274 | 3 | 05/12/1999 | Customer Dispute | Award / Judgment | $188,531.00 | $142,000.00 | See FINRA Report |
| Jose Sergio Bohon | 1547815 | 1 | 12/23/1998 | Customer Dispute | Award / Judgment | $8,989.00 | $8,989.00 | See FINRA Report |
| L Dennis Brokaw | 31367 | 1 | 12/18/1998 | Customer Dispute | Award / Judgment | $146,228.00 | $100,000.00 | See FINRA Report |
| Thomas Edward Kealy | 2316993 | 2 | 12/16/1998 | Customer Dispute | Award / Judgment | $250,000.00 | $23,000.00 | See FINRA Report |
| Victor John Rosati | 2454436 | 1 | 10/28/1998 | Customer Dispute | Award / Judgment | $150,000.00 | $0.00 | See FINRA Report |
| Roger Henry Erichsen | 1957278 | 6 | 09/30/1998 | Customer Dispute | Award / Judgment | $26,218.00 | $4,218.00 | See FINRA Report |
| Walter M Stucker | 2197844 | 1 | 07/02/1997 | Customer Dispute | Award / Judgment | $21,549.80 | $33,205.30 | See FINRA Report |
| James Mulcahy | 2426770 | 1 | 03/15/1997 | Customer Dispute | Award / Judgment | $25,000.00 | $5,418.00 | See FINRA Report |