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 |
|---|---|---|---|---|---|---|---|---|
| John Pierre Carlsen | 2542072 | 1 | 04/15/2012 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Michael Robert Rosen | 2495568 | 1 | 04/05/2012 | Customer Dispute | Closed-No Action | $97,739.00 | $0.00 | See FINRA Report |
| Brian H Rolfe | 2389208 | 2 | 01/27/2012 | Customer Dispute | Closed-No Action | $36,416.00 | $0.00 | See FINRA Report |
| Eric Jung Rhee | 4511960 | 2 | 01/09/2012 | Customer Dispute | Closed-No Action | $3,000.00 | $0.00 | See FINRA Report |
| Alan J Meyer | 4579799 | 2 | 01/09/2012 | Customer Dispute | Closed-No Action | $3,000.00 | $0.00 | See FINRA Report |
| Aaron Scott Richman | 4206884 | 2 | 01/09/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian Jens Firring | 2254647 | 1 | 10/03/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Vincent John Roth | 4572604 | 1 | 08/05/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Avery Merritt | 2516437 | 1 | 06/03/2011 | Customer Dispute | Closed-No Action | $83,500.00 | $0.00 | See FINRA Report |
| Adam Ernest Montano | 5554722 | 1 | 04/07/2011 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |