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FINRA Broker Disclosures for Wells Fargo Clearing Services, LLC

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.

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Displaying 131-140 out of 324 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Robert Hugh Evans2480530309/15/2005Customer DisputeClosed-No Action$575,000.00$0.00See FINRA Report
James Randall Pringle1277121708/09/2005Customer DisputeClosed-No Action$9,500.00$0.00See FINRA Report
James Edward Marosi2241032108/03/2005Customer DisputeClosed-No Action$13,822.70$0.00See FINRA Report
Leif David Olson2277495707/28/2005Customer DisputeClosed-No Action$32,440.00$0.00See FINRA Report
Brian Henry Waters1066951207/18/2005Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
Marc Kevin Elim2471834106/15/2005Customer DisputeClosed-No Action$143,000.00$0.00See FINRA Report
Kristin Ann Tangen1717117105/31/2005Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
John Kimble Coggins867762105/20/2005Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
Robert Hugh Evans2480530304/05/2005Customer DisputeClosed-No Action$575,000.00$0.00See FINRA Report
David Oscar Difilippo734340303/30/2005Customer DisputeClosed-No Action$0.00$0.00See FINRA Report

324 Results

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