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 |
|---|---|---|---|---|---|---|---|---|
| Thomas David Peck | 3189539 | 2 | 09/13/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Oscar Gailey | 1794143 | 2 | 09/13/2001 | Customer Dispute | Denied | $104,555.00 | $0.00 | See FINRA Report |
| Steven Frederick Becher | 2797889 | 6 | 09/07/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas W Ku | 2702044 | 3 | 09/06/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Carl Stewart Warren | 3243594 | 2 | 09/05/2001 | Customer Dispute | Denied | $6,144.96 | $0.00 | See FINRA Report |
| Ken Scott Chastain | 2136951 | 7 | 08/31/2001 | Customer Dispute | Denied | $18,090.10 | $0.00 | See FINRA Report |
| John Edward Draper | 2773187 | 4 | 08/29/2001 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Ken Scott Chastain | 2136951 | 7 | 08/24/2001 | Customer Dispute | Denied | $62,032.40 | $0.00 | See FINRA Report |
| Richard Brian Stevens | 1835953 | 1 | 08/23/2001 | Customer Dispute | Denied | $37,000.00 | $0.00 | See FINRA Report |
| Susan Griswold Mamer | 1589412 | 4 | 08/22/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |