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 |
|---|---|---|---|---|---|---|---|---|
| Daniel W Smith | 5816549 | 2 | 11/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frank Jose Ortiz | 2466113 | 3 | 11/15/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Perry Shields | 2604182 | 1 | 11/14/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Aaron Fuchsman | 3063940 | 1 | 11/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Russel Goldstein | 1909843 | 1 | 10/29/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Piccolo | 2614880 | 1 | 10/25/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher R Cochrane | 2121318 | 9 | 10/23/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Evan Richard Wuhl | 867812 | 17 | 10/15/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Michael Polk | 4568532 | 2 | 10/10/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Marek Billington | 5352766 | 2 | 09/24/2019 | Customer Dispute | Settled | $5,038.65 | $0.00 | See FINRA Report |