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 |
|---|---|---|---|---|---|---|---|---|
| Robert Alan Rosenblum | 2269873 | 1 | 01/31/2005 | Customer Dispute | Closed-No Action | $8,904.00 | $0.00 | See FINRA Report |
| Philip Douglas Gundy | 1085382 | 3 | 12/21/2004 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Raymond Joseph Bevier | 815428 | 1 | 12/16/2004 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Eugene Leo Damico | 1196652 | 4 | 12/07/2004 | Customer Dispute | Closed-No Action | $130,000.00 | $0.00 | See FINRA Report |
| Alan A Demattia | 1721752 | 2 | 10/13/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Penny Rene Dirago | 1500779 | 4 | 09/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Penny Rene Dirago | 1500779 | 4 | 09/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Barton Dirago | 1249641 | 6 | 09/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Barton Dirago | 1249641 | 6 | 09/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Barton Dirago | 1249641 | 6 | 09/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |