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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Eugene Cabri | 2815682 | 3 | 12/27/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roberto Alejandro Garfias | 4836070 | 3 | 12/12/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathan William Book | 4155995 | 1 | 11/30/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron D Sanor | 3207694 | 2 | 11/26/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jyoti Robin Shah | 2412296 | 1 | 10/26/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Joshua Smith | 4455591 | 2 | 10/04/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Michael Karwowski | 3105257 | 1 | 09/30/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Lee Waldron | 4230510 | 1 | 08/19/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shahmir John Moussavi | 2985105 | 1 | 07/08/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roberto Alejandro Garfias | 4836070 | 3 | 06/27/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |