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 |
|---|---|---|---|---|---|---|---|---|
| Stephen J Smola | 1156520 | 2 | 08/10/1993 | Customer Dispute | Award / Judgment | $168,457.00 | $70,786.60 | See FINRA Report |
| Jeffrey Donald Thiele | 1190762 | 2 | 06/29/1993 | Customer Dispute | Award / Judgment | $43,600.00 | $3,000.00 | See FINRA Report |
| Robert Gordon Katz | 1247426 | 2 | 05/27/1993 | Customer Dispute | Award / Judgment | $60,000.00 | $40,561.00 | See FINRA Report |
| Roy H Savarick | 858684 | 4 | 05/25/1993 | Customer Dispute | Award / Judgment | $25,000.00 | $13,500.00 | See FINRA Report |
| John Martin Jetter | 258617 | 7 | 05/10/1993 | Customer Dispute | Award / Judgment | $170,000.00 | $134,053.00 | See FINRA Report |
| Keith Harlow Dunton | 1803318 | 4 | 04/06/1993 | Customer Dispute | Award / Judgment | $940.00 | $15.00 | See FINRA Report |
| Paul Gerard Shipkoskie | 725096 | 4 | 04/05/1993 | Customer Dispute | Award / Judgment | $22,460.00 | $22,460.00 | See FINRA Report |
| Kenneth Mark Harb | 502814 | 7 | 02/22/1993 | Customer Dispute | Award / Judgment | $7,563.00 | $3,300.00 | See FINRA Report |
| Charles Waserstein | 1657123 | 6 | 12/07/1992 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| Richard Jay Bernstein | 1113777 | 8 | 12/01/1992 | Customer Dispute | Award / Judgment | $600,000.00 | $31,300.00 | See FINRA Report |