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 |
|---|---|---|---|---|---|---|---|---|
| Penny Rene Dirago | 1500779 | 4 | 08/31/2004 | Customer Dispute | Closed-No Action | $210,000.00 | $0.00 | See FINRA Report |
| Jimmi Lockkoon Ong | 2858307 | 1 | 08/06/2004 | Customer Dispute | Closed-No Action | $42,000.00 | $0.00 | See FINRA Report |
| Robert Francis Powers | 366966 | 5 | 08/06/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William H Bender | 1447054 | 5 | 08/05/2004 | Customer Dispute | Closed-No Action | $13,800.00 | $0.00 | See FINRA Report |
| Charles Burgess James | 4208929 | 2 | 08/04/2004 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Daniel Fredrick Radtke | 2862050 | 2 | 07/23/2004 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| David Mark Hodgkiss | 1801623 | 2 | 07/20/2004 | Customer Dispute | Closed-No Action | $103,663.00 | $0.00 | See FINRA Report |
| Philip Douglas Gundy | 1085382 | 3 | 07/02/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Frederick T Mayer | 1041736 | 3 | 06/30/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Leif David Olson | 2277495 | 7 | 06/02/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |