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 |
|---|---|---|---|---|---|---|---|---|
| Steven Hai Shi | 2899856 | 2 | 01/13/2009 | Customer Dispute | Denied | $8,222.29 | $0.00 | See FINRA Report |
| Raymond Vega | 2072362 | 1 | 01/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Edmund Vanhorn | 4533736 | 1 | 01/12/2009 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| John D Troncale | 4287972 | 1 | 01/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Lukcso | 4527472 | 1 | 01/05/2009 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Jay Robert Friday | 2445684 | 2 | 12/30/2008 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Richard Steven Klingman | 1632399 | 1 | 12/30/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steve Kim | 4055576 | 2 | 12/30/2008 | Customer Dispute | Denied | $22,142.00 | $0.00 | See FINRA Report |
| Matthew Thorne Newman | 1329990 | 5 | 12/29/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Thorne Newman | 1329990 | 5 | 12/29/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |