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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Charles Ruoss | 7567598 | 1 | 06/16/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marc John Spiegel | 844632 | 2 | 06/09/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joshua Hadarie Glasper | 6855175 | 2 | 06/08/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Heather Nadeau | 7607423 | 2 | 06/08/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Juan Carlos Mendieta | 7650442 | 8 | 06/05/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roberto Alejandro Garfias | 4836070 | 4 | 06/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Monica Yates Harrison-Church | 4722051 | 2 | 05/30/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Andrew Hill | 4606358 | 12 | 05/30/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Yancey F Carter | 2259658 | 1 | 05/25/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Bandoquillo Navarro | 6731067 | 1 | 05/25/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |