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 |
|---|---|---|---|---|---|---|---|---|
| Adam Carl Elgert | 4488125 | 2 | 07/23/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Francis Steinitz | 4588224 | 2 | 07/15/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hollis Lenoir Jefferies | 4504057 | 1 | 06/26/2019 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Samuel Lynn Pratt | 5438000 | 1 | 06/25/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steve Kim | 4055576 | 2 | 06/20/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Edward Shaw | 1359992 | 9 | 06/06/2019 | Customer Dispute | Denied | $7,292.00 | $0.00 | See FINRA Report |
| Chad Allan Holtz | 2170445 | 3 | 05/23/2019 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| John Robert Fabris | 1529037 | 6 | 05/16/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mary W Basili | 1088689 | 1 | 05/10/2019 | Customer Dispute | Denied | $27,945.80 | $0.00 | See FINRA Report |
| Berlin Madison Perkins | 3258154 | 1 | 04/25/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |