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 |
|---|---|---|---|---|---|---|---|---|
| Amy Long | 4012838 | 3 | 04/09/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Allan Sirt | 1289440 | 1 | 01/30/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Jerome Levine | 1785045 | 5 | 10/29/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ted Laporte | 2920468 | 1 | 09/18/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Paul Klein | 1240564 | 4 | 08/19/2013 | Customer Dispute | Final | $350,000.00 | $0.00 | See FINRA Report |
| Jordan David Frank | 6873321 | 2 | 04/29/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Helen Marie Devito | 2204648 | 5 | 04/03/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kam Poi Yee | 2393601 | 2 | 03/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Golam Farhad Chowdhury | 4484166 | 1 | 02/07/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph C Despres | 1557624 | 7 | 10/02/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |