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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| John Gerard Arensdorf | 1798680 | 3 | 03/21/2011 | Customer Dispute | Closed-No Action | $825,000.00 | $0.00 | See FINRA Report |
| Stephen G Douglas | 4910878 | 1 | 10/27/2010 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Aaron Weston Brewer | 5451527 | 2 | 09/28/2010 | Customer Dispute | Closed-No Action | $7,588.48 | $0.00 | See FINRA Report |
| Lily Chanlei Kam | 3004861 | 1 | 02/26/2010 | Customer Dispute | Closed-No Action | $10,921.00 | $0.00 | See FINRA Report |
| Richard Jay Bernstein | 1113777 | 8 | 12/29/2009 | Customer Dispute | Closed-No Action | $25,555.00 | $0.00 | See FINRA Report |
| Daniel Thomas Corcoran | 5092890 | 1 | 10/19/2009 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |