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 |
|---|---|---|---|---|---|---|---|---|
| Kimberly Ann Zeppelin | 6774975 | 2 | 01/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Arthur Lee Thompson | 828946 | 7 | 12/30/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James E Thorn | 5204266 | 3 | 12/07/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Michael Nichols | 3062155 | 1 | 11/24/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeremy Lee Adams | 5530593 | 3 | 11/21/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James E Thorn | 5204266 | 3 | 08/25/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lynne Marie Simpson | 2808449 | 1 | 08/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Louelle Felicia Grant | 7150054 | 1 | 07/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Phillip Scott Holder | 4917904 | 2 | 06/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Angelo J Brucchieri | 5798224 | 1 | 04/07/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |