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 |
|---|---|---|---|---|---|---|---|---|
| Peter Stephen Giannone | 1537055 | 2 | 10/08/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gary Lum | 1535007 | 1 | 10/08/2008 | Customer Dispute | Closed-No Action | $22,000.00 | $0.00 | See FINRA Report |
| Michael David Cooke | 1766200 | 2 | 09/30/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Quan Dao | 4779063 | 4 | 09/29/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Patricia Anne Conrad | 2919263 | 3 | 09/29/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin Gerard Dedenbach | 4527143 | 2 | 09/23/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Frank I-Min Wu | 1613789 | 1 | 08/11/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Donald Thiele | 1190762 | 2 | 07/25/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Wayne Robert Miller | 1548628 | 1 | 05/28/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Cameron Hutchins | 2339233 | 2 | 05/18/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |