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 |
|---|---|---|---|---|---|---|---|---|
| Katherine Barbato Riechmann | 6276065 | 2 | 06/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Alfonso Rodriguez | 6243666 | 1 | 06/17/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mitchell Smith | 5932923 | 2 | 05/27/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lawrence L Richmond | 6050487 | 2 | 05/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bryan Karl Raymond | 2205049 | 6 | 04/21/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lary Douglas Bloom | 4134648 | 5 | 01/12/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Theresa Marie Powers | 1173245 | 1 | 12/18/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Dijamco | 2574887 | 2 | 12/14/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wayne E Simpson | 4023991 | 1 | 10/19/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Matthews | 7543930 | 6 | 09/12/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |