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 |
|---|---|---|---|---|---|---|---|---|
| Brian Matthew Smith | 1734987 | 2 | 12/28/2000 | Customer Dispute | Denied | $6,206.81 | $0.00 | See FINRA Report |
| Christopher Dyer Queen | 2703908 | 2 | 12/15/2000 | Customer Dispute | Denied | $190,000.00 | $0.00 | See FINRA Report |
| Karen Olive Burritt Sinovic | 425319 | 3 | 11/30/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason Lawrence Fern | 2598919 | 4 | 11/26/2000 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Shawn Jacobowitz | 2569489 | 1 | 11/18/2000 | Customer Dispute | Denied | $8,500.00 | $0.00 | See FINRA Report |
| Mark Joseph Lippman | 1235844 | 5 | 11/13/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Arthur Peterson | 2126118 | 1 | 10/13/2000 | Customer Dispute | Denied | $10,302.00 | $0.00 | See FINRA Report |
| John Eliot Penn | 1045710 | 1 | 10/05/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Henry Waters | 1066951 | 2 | 09/22/2000 | Customer Dispute | Denied | $2,531,250.00 | $0.00 | See FINRA Report |
| Albert Michael Tate | 1435759 | 1 | 09/21/2000 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |