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 |
|---|---|---|---|---|---|---|---|---|
| Diana Aileen Romero | 5385143 | 2 | 02/22/2011 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Nicholas James Grimm | 5004272 | 1 | 02/21/2011 | Customer Dispute | Denied | $36,497.90 | $0.00 | See FINRA Report |
| Scott Francis Marshall | 2340626 | 2 | 02/16/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Andrew Tirrell | 2134245 | 3 | 02/08/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Howard Humphrey | 2276636 | 3 | 02/01/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas L Scott | 2768295 | 1 | 01/31/2011 | Customer Dispute | Denied | $13,500.00 | $0.00 | See FINRA Report |
| Benjamin Todd Melone | 4289958 | 1 | 01/19/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Patrick Curtin | 2693402 | 1 | 01/19/2011 | Customer Dispute | Denied | $159,240.00 | $0.00 | See FINRA Report |
| Ricardo Gadea Flores | 5358212 | 2 | 01/10/2011 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Behnam Lavian | 4620983 | 2 | 01/06/2011 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |