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 |
|---|---|---|---|---|---|---|---|---|
| David Hughes Leblond | 1274648 | 1 | 01/10/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Richard Kalamar | 2987355 | 3 | 01/07/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sang Hyun Lee | 6060711 | 1 | 12/31/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Margiotta | 1821043 | 3 | 12/16/2019 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Howard P Bernstein | 2765611 | 3 | 12/12/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sharaff Ulann Rathur | 5784120 | 1 | 12/11/2019 | Customer Dispute | Settled | $7,518.00 | $0.00 | See FINRA Report |
| Gerald Daniel Ramirez | 3162697 | 2 | 12/02/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Richard Pratt | 3091756 | 1 | 11/25/2019 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Edward Joseph Moffitt | 2976584 | 1 | 11/22/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Michael von Clausburg | 2777428 | 1 | 11/22/2019 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |