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 |
|---|---|---|---|---|---|---|---|---|
| Michael Claude Marshall | 2837574 | 1 | 03/27/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Matthew Halifax | 4808917 | 3 | 11/15/2011 | Customer Dispute | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Grover Gainey | 2351657 | 2 | 07/26/2011 | Customer Dispute | Final | $24,000.00 | $0.00 | See FINRA Report |
| Peter Vincent Smith | 872534 | 1 | 06/21/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter G Hart | 238684 | 2 | 06/21/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Evan Stern | 4595456 | 1 | 06/21/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jon Palmer Brown | 1968185 | 3 | 05/13/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Thomas Cook | 2942046 | 1 | 05/13/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph C Despres | 1557624 | 7 | 02/08/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Michael Logsdon | 4178266 | 6 | 04/16/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |