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 Howard Riddle | 4850123 | 1 | 05/25/2011 | Customer Dispute | Award / Judgment | $25,000.00 | $0.00 | See FINRA Report |
| David James Bogart | 1684976 | 6 | 02/09/2011 | Customer Dispute | Award / Judgment | $883,122.00 | $1,377,010.00 | See FINRA Report |
| Sherwyn Joel Labovitz | 300099 | 1 | 09/09/2010 | Customer Dispute | Award / Judgment | $23,467.50 | $23,892.50 | See FINRA Report |
| Charles Edward Durham | 4337880 | 5 | 08/30/2010 | Customer Dispute | Award / Judgment | $0.00 | $48,006.00 | See FINRA Report |
| John Peter Boosalis | 2821231 | 3 | 08/10/2010 | Customer Dispute | Award / Judgment | $25,000.00 | $15,785.00 | See FINRA Report |
| Mitchell Ross Pindus | 1268550 | 4 | 07/23/2010 | Customer Dispute | Award / Judgment | $242,183.00 | $10,000.00 | See FINRA Report |
| Nancy Charlene Lipham | 703779 | 1 | 06/22/2010 | Customer Dispute | Award / Judgment | $41,000.00 | $43,579.00 | See FINRA Report |
| Haygood Paterson Seawell | 2670707 | 5 | 03/26/2010 | Customer Dispute | Award / Judgment | $239,780.00 | $37,500.00 | See FINRA Report |
| Michele Elaine Kief | 2879802 | 2 | 03/08/2010 | Customer Dispute | Award / Judgment | $5,642.00 | $5,642.15 | See FINRA Report |
| John Peter Boosalis | 2821231 | 3 | 02/08/2010 | Customer Dispute | Award / Judgment | $343,221.00 | $0.00 | See FINRA Report |