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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Wolf Osher | 2560796 | 5 | 09/08/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jasmine Saman Shodja | 4132920 | 1 | 09/02/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Amundson | 4360505 | 2 | 08/21/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Wolf Osher | 2560796 | 5 | 06/07/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sanford Michael Katz | 1558898 | 1 | 04/04/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Russell Clark | 2848753 | 2 | 12/22/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Long | 4012838 | 3 | 10/26/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Francis Kennedy | 1627431 | 1 | 10/01/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Long | 4012838 | 3 | 07/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Stephen Kinnear | 2769750 | 1 | 04/13/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |