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 |
|---|---|---|---|---|---|---|---|---|
| David Nixon Ashe | 1790015 | 6 | 08/20/2000 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Vincent Batteria | 2987103 | 2 | 08/04/2000 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Seth Loring Goldberg | 2985059 | 1 | 07/31/2000 | Customer Dispute | Closed-No Action | $350,000.00 | $0.00 | See FINRA Report |
| Suzanne Feinberg | 2398234 | 1 | 07/20/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| G Scott Newsom | 2789672 | 1 | 07/06/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Douglass Schneider | 2172954 | 1 | 06/26/2000 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Craig Smith | 1620160 | 3 | 04/20/2000 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| David Suk Ko | 2487060 | 5 | 04/18/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Cecilia I Ward | 2600745 | 1 | 03/17/2000 | Customer Dispute | Closed-No Action | $17,000.00 | $0.00 | See FINRA Report |
| John Michael Clifford | 2647204 | 3 | 03/15/2000 | Customer Dispute | Closed-No Action | $49,000.00 | $0.00 | See FINRA Report |