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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Eric Beckman | 1089649 | 2 | 01/01/1991 | Customer Dispute | Award / Judgment | $50,000.00 | $10,000.00 | See FINRA Report |
| William Houk Basler | 1310243 | 9 | 12/20/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Lavern Hay | 1174865 | 3 | 12/05/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mitchell Ross Pindus | 1268550 | 4 | 12/01/1990 | Customer Dispute | Award / Judgment | $109,914.00 | $35,000.00 | See FINRA Report |
| Arthur Felix | 820118 | 1 | 11/15/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Thomas Turnbough | 867704 | 7 | 11/01/1990 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Thomas Bernard Goodwin | 1589512 | 1 | 10/17/1990 | Customer Dispute | Award / Judgment | $18,000.00 | $15,104.40 | See FINRA Report |
| Troy Anthony Litle | 1364827 | 3 | 10/16/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Gareth Heimstaedt | 732695 | 5 | 10/15/1990 | Customer Dispute | Award / Judgment | $67,076.10 | $51,000.00 | See FINRA Report |
| Arthur Quan Chan | 1074367 | 3 | 08/31/1990 | Customer Dispute | Award / Judgment | $827,029.00 | $139,000.00 | See FINRA Report |