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 |
|---|---|---|---|---|---|---|---|---|
| Soraya A Rodriguez | 4845049 | 4 | 10/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| April Lyn Manley | 5218037 | 2 | 10/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kirk James Mikel | 5844556 | 1 | 10/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Edward Kenna | 1808118 | 5 | 09/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Soraya A Rodriguez | 4845049 | 4 | 08/31/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Soraya A Rodriguez | 4845049 | 4 | 08/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Benjamin Thomas Smitley | 6854982 | 1 | 07/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Tramantano | 5316388 | 2 | 07/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Arthur Hopp | 1488947 | 5 | 07/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Joseph Spearing | 5849199 | 2 | 07/19/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |