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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey David Sustarsic | 3273194 | 1 | 09/04/2015 | Customer Dispute | Award / Judgment | $0.00 | $14,305.80 | See FINRA Report |
| Charles B James | 4208929 | 2 | 02/10/2015 | Customer Dispute | Award / Judgment | $0.00 | $5,987.75 | See FINRA Report |
| Thomas Joseph Cunningham | 4033073 | 3 | 10/17/2014 | Customer Dispute | Award / Judgment | $0.00 | $66,225.00 | See FINRA Report |
| Mark Steven Vandeburgt | 2818411 | 4 | 03/26/2013 | Customer Dispute | Award / Judgment | $0.00 | $144,808.00 | See FINRA Report |
| Philip Kirby Jefferson | 2497587 | 1 | 08/27/2012 | Customer Dispute | Award / Judgment | $150,000.00 | $30,375.00 | See FINRA Report |
| Brian Patrick Dunphy | 2306960 | 2 | 07/24/2012 | Customer Dispute | Award / Judgment | $0.00 | $1,109,340.00 | See FINRA Report |
| Craig Steven Nomberg | 4293515 | 2 | 05/25/2012 | Customer Dispute | Award / Judgment | $558,777.00 | $260,000.00 | See FINRA Report |
| Charles Joseph Margiasso | 5218367 | 1 | 11/09/2011 | Customer Dispute | Award / Judgment | $24,450.00 | $24,450.00 | See FINRA Report |
| Jeffrey Creech | 2143838 | 1 | 07/20/2011 | Customer Dispute | Award / Judgment | $10,000.00 | $0.00 | See FINRA Report |
| Daniel John McLoughlin | 2235453 | 6 | 06/02/2011 | Customer Dispute | Award / Judgment | $3,514,100.00 | $0.00 | See FINRA Report |