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 |
|---|---|---|---|---|---|---|---|---|
| Maria Louise Holtz | 4003165 | 1 | 07/27/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Schuurman | 5482939 | 1 | 07/10/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mauricio Espinoza | 6021084 | 1 | 12/13/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ruby Ficklen | 7552243 | 1 | 11/04/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nancy R Ambrose | 5222777 | 1 | 10/22/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Norman Fuller Barrett | 2640131 | 3 | 09/12/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Julia Mary Cycon | 7433767 | 1 | 08/25/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sergio Calderon | 6794543 | 1 | 07/19/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Phillip J Kostantas | 2560780 | 2 | 07/10/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Douglas Sereda | 7161625 | 1 | 06/29/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |