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 |
|---|---|---|---|---|---|---|---|---|
| Lawrence Howard Sizeler | 425593 | 4 | 05/01/1991 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |
| Efraim Gelber | 1036869 | 1 | 04/26/1991 | Customer Dispute | Award / Judgment | $55,802.30 | $55,802.30 | See FINRA Report |
| Robert Kent Post | 366261 | 7 | 04/09/1991 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Francis X Roche | 1108960 | 2 | 04/01/1991 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Richard Lawrence Spraker | 432541 | 2 | 03/27/1991 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Daniel Warren Staples | 1122955 | 2 | 02/26/1991 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Douglas Donaldson Moyer | 1039410 | 4 | 02/25/1991 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |
| Michael Palmer | 726192 | 2 | 02/22/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Waserstein | 1657123 | 6 | 02/20/1991 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| John Hamilton Pounds | 859969 | 2 | 02/19/1991 | Customer Dispute | Settled | $37,955.40 | $0.00 | See FINRA Report |