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 |
|---|---|---|---|---|---|---|---|---|
| Frank B Gott | 1405453 | 1 | 04/22/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donna Gail Smothermon | 5397246 | 1 | 03/27/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Richard McGahan | 1447083 | 2 | 03/23/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Randall Walker | 1485016 | 5 | 04/17/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marriett Royster | 1392824 | 1 | 08/06/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Maynard Penewell | 840821 | 2 | 01/22/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael William Roberts | 1432708 | 1 | 08/21/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Arthur H Zeitz | 1042098 | 1 | 04/01/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Alfons Kallman | 263465 | 6 | 01/01/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Damian Rohn | 1322294 | 1 | 02/28/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |