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 |
|---|---|---|---|---|---|---|---|---|
| Tyson Boyd Smith | 5222683 | 1 | 06/30/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Joseph Harmer | 724175 | 8 | 06/06/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Armstrong Haye | 5144541 | 3 | 03/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Linda Rocio Talley | 2195047 | 1 | 12/27/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Francis O'Brien | 1024861 | 7 | 11/25/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Francis O'Brien | 1024861 | 7 | 11/25/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Francis O'Brien | 1024861 | 7 | 11/25/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeremy Lee Adams | 5530593 | 3 | 10/17/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ana Maria Almeciga | 3199515 | 1 | 10/10/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Allen Stubbs | 7814450 | 2 | 08/16/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |