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 |
|---|---|---|---|---|---|---|---|---|
| J Richard Stewart | 1331041 | 5 | 12/11/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles Daniel Shields | 2067177 | 3 | 12/02/2008 | Customer Dispute | Closed-No Action | $143,000.00 | $0.00 | See FINRA Report |
| Paul Leathem Leahy | 1314102 | 4 | 11/24/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Michael Aubry | 1007787 | 1 | 11/20/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Barry Marvin Schoenfeld | 1019762 | 5 | 11/19/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ross Allen Stein | 1221595 | 3 | 11/19/2008 | Customer Dispute | Closed-No Action | $46,300.00 | $0.00 | See FINRA Report |
| Stephen S. Sullaway | 716108 | 2 | 11/13/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Clarence Samuel Milligan | 2159846 | 2 | 11/10/2008 | Customer Dispute | Closed-No Action | $7,960.00 | $0.00 | See FINRA Report |
| Charles David Willis | 2195763 | 1 | 10/29/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian Carter Keach | 3000286 | 6 | 10/29/2008 | Customer Dispute | Closed-No Action | $90,000.00 | $0.00 | See FINRA Report |