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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Duane Roesler | 1763368 | 2 | 08/06/2001 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |
| Robert Anthony Platania | 1264936 | 1 | 07/31/2001 | Customer Dispute | Closed-No Action | $19,809.50 | $0.00 | See FINRA Report |
| Charles William Bracken | 1904933 | 4 | 07/31/2001 | Customer Dispute | Closed-No Action | $21,396.10 | $0.00 | See FINRA Report |
| Steven Jay Simes | 2134935 | 5 | 07/09/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark A Burdette | 1368702 | 2 | 06/22/2001 | Customer Dispute | Closed-No Action | $90,000.00 | $0.00 | See FINRA Report |
| John B Sloope | 2964903 | 3 | 06/19/2001 | Customer Dispute | Closed-No Action | $8,500.00 | $0.00 | See FINRA Report |
| Porfirio Eduardo Perez | 2432083 | 2 | 05/18/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Martin Oliver | 2732398 | 2 | 05/14/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Craig Smith | 1620160 | 3 | 04/27/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Karl Huenke | 1077771 | 4 | 04/24/2001 | Customer Dispute | Closed-No Action | $32,493.10 | $0.00 | See FINRA Report |