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 |
|---|---|---|---|---|---|---|---|---|
| Jordan Allan | 6736226 | 1 | 12/02/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Byron Lee Ellis | 4302550 | 1 | 08/31/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Preston Patel | 7753298 | 1 | 07/04/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Hamilton Hopper | 5525881 | 3 | 04/06/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Pitzer | 4948099 | 1 | 01/07/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Joseph Poland | 7828030 | 1 | 09/16/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ishan Sarna | 7836753 | 1 | 07/17/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Luis Armando Lozano | 6259019 | 2 | 03/18/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mathew Miller | 6125775 | 1 | 03/05/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Edward Brady | 871624 | 1 | 01/22/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |