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 |
|---|---|---|---|---|---|---|---|---|
| Marco Philip Yeppez | 7337704 | 4 | 08/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Bowen | 4141582 | 3 | 08/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Mestre Mijares | 7683429 | 1 | 08/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Claudia Y Backman | 7500645 | 11 | 07/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luz Elena Brice | 7653758 | 5 | 07/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mindy Spencer | 2448886 | 4 | 07/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Claudia Y Backman | 7500645 | 11 | 06/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Claudia Y Backman | 7500645 | 11 | 06/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mindy Spencer | 2448886 | 4 | 06/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mindy Spencer | 2448886 | 4 | 06/20/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |