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 |
|---|---|---|---|---|---|---|---|---|
| Robert Glenn Kaiser | 2193621 | 2 | 11/11/2018 | Customer Dispute | Award / Judgment | $40,851.40 | $0.00 | See FINRA Report |
| Daniel Andrew Rosengarten | 6484210 | 1 | 11/11/2018 | Customer Dispute | Award / Judgment | $40,851.40 | $0.00 | See FINRA Report |
| Daniel Brian Vetter | 2974330 | 2 | 11/08/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Sacks | 6773303 | 1 | 10/30/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Janet Sue Berardino | 2161672 | 3 | 10/29/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip James Farese | 5660761 | 1 | 10/23/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Augustine Ruben Azevedo | 5609785 | 1 | 10/16/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Ellsworth McMann | 1663189 | 6 | 10/16/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeremy Hill | 4800209 | 2 | 10/12/2018 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Kenneth Edward Shaw | 1359992 | 9 | 10/11/2018 | Customer Dispute | Settled | $43,542.00 | $0.00 | See FINRA Report |