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 |
|---|---|---|---|---|---|---|---|---|
| Luis Armando Lozano | 6259019 | 2 | 03/18/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ruhul Amin | 6793280 | 1 | 02/05/2018 | 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 |
| Diane M Patterson | 1913103 | 1 | 10/17/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Gregory Shindelbower | 7461516 | 1 | 10/05/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Billy Ray Rice | 7281331 | 1 | 09/05/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Franz Albert Koch | 4467954 | 3 | 05/22/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel R Hesch | 7250149 | 1 | 04/21/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Avery Kenyon | 6973414 | 1 | 03/22/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchell Juda | 6758015 | 1 | 03/08/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |