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 |
|---|---|---|---|---|---|---|---|---|
| Warren Jay Hartzman | 1155982 | 2 | 09/09/2020 | Customer Dispute | Settled | $45,006.50 | $0.00 | See FINRA Report |
| Yuting Cheng | 5719286 | 2 | 09/03/2020 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Jeffry Neal Carel | 4935789 | 3 | 08/18/2020 | Customer Dispute | Settled | $137,000.00 | $0.00 | See FINRA Report |
| Jason Ryan Jaynes | 5555100 | 2 | 08/07/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Stephen Haberek | 1885562 | 2 | 07/27/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Shon Hickey | 865291 | 2 | 07/21/2020 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Brian Michael Jackson | 4733834 | 3 | 07/21/2020 | Customer Dispute | Closed-No Action | $101,000.00 | $0.00 | See FINRA Report |
| Tim D Ridley | 2609937 | 1 | 07/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Joseph Schaefer | 1286030 | 6 | 06/12/2020 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kevin Joseph Schaefer | 1286030 | 6 | 06/04/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |