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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Murray Millspaugh | 1556852 | 4 | 02/08/1989 | Customer Dispute | Award / Judgment | $80,000.00 | $67,663.20 | See FINRA Report |
| Arthur Lee Thompson | 828946 | 7 | 01/28/1989 | Customer Dispute | Award / Judgment | $295,189.00 | $187,552.00 | See FINRA Report |
| Scott Richard Bell | 1131439 | 2 | 01/10/1989 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Harry Gaykian | 219024 | 3 | 01/10/1989 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Fredric Charles Gesten | 705821 | 3 | 01/01/1989 | Customer Dispute | Award / Judgment | $10,000.00 | $2,000.00 | See FINRA Report |
| Peter Alan Goodridge | 1171043 | 3 | 12/02/1988 | Customer Dispute | Settled | $5,300,000.00 | $0.00 | See FINRA Report |
| John Hamilton Pounds | 859969 | 2 | 12/01/1988 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Stevan Paul Horvath | 809775 | 1 | 09/20/1988 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Lauderdale | 1236614 | 3 | 08/19/1988 | Customer Dispute | Settled | $28,813.70 | $0.00 | See FINRA Report |
| James Joseph Murphy | 1024330 | 7 | 08/17/1988 | Customer Dispute | Award / Judgment | $26,856.70 | $16,001.60 | See FINRA Report |