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 |
|---|---|---|---|---|---|---|---|---|
| Robert Timothy Higgins | 2374125 | 1 | 08/09/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Eric Isaacson | 2183909 | 1 | 03/27/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Gerard Ley | 1127048 | 3 | 03/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Reid Horowitz | 2681741 | 3 | 03/11/2024 | Customer Dispute | Settled | $2,039,030.00 | $0.00 | See FINRA Report |
| Kenneth David Ibbetson | 4398092 | 1 | 02/03/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Jay Kutcher | 2456469 | 4 | 11/27/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Reid Horowitz | 2681741 | 3 | 11/24/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Matthew Polis | 1257552 | 3 | 11/20/2023 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Carroll Mac Wilson | 2777324 | 3 | 11/07/2023 | Customer Dispute | Settled | $26,916.20 | $0.00 | See FINRA Report |
| Zachary A Harless | 5525364 | 4 | 10/20/2023 | Customer Dispute | Settled | $320,000.00 | $0.00 | See FINRA Report |