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 |
|---|---|---|---|---|---|---|---|---|
| Bertha Corona | 6361180 | 1 | 08/15/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cody Minh Lenguyen | 6015822 | 1 | 01/19/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Charles Ruoss | 7567598 | 1 | 06/16/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jie Moon Chung | 7211906 | 1 | 04/03/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Michael Cartin | 4565652 | 1 | 01/18/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Joseph Laughlin | 2464338 | 1 | 12/06/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven William Sherman | 1230247 | 1 | 11/19/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeff Han | 5141743 | 1 | 11/09/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Paul Barberis | 1772762 | 5 | 05/06/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rania Khalaf Ayoub Younan | 6808883 | 1 | 04/26/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |