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 |
|---|---|---|---|---|---|---|---|---|
| George James Mundy | 2344876 | 1 | 08/07/2002 | Customer Dispute | Denied | $1,300,000.00 | $0.00 | See FINRA Report |
| Ralph Jay Poling | 2280356 | 2 | 08/06/2002 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Robert Maynard Penewell | 840821 | 2 | 08/01/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Lee Davis | 2912907 | 1 | 08/01/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Piety Catron | 2123353 | 6 | 07/29/2002 | Customer Dispute | Denied | $16,627.40 | $0.00 | See FINRA Report |
| Steven Claude Violette | 1423714 | 1 | 07/29/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Drees Haag | 1731564 | 4 | 07/29/2002 | Customer Dispute | Denied | $82,000.00 | $0.00 | See FINRA Report |
| John Burke Lyon | 865471 | 3 | 07/24/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rafael A Villavicencio | 3005771 | 1 | 07/23/2002 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Steven Frederick Becher | 2797889 | 6 | 07/22/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |