ALAN A DEMATTIA is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 200 CAMPUS DR, STE 220, FLORHAM PARK, NJ, 07932.
ALAN A DEMATTIA has worked at WELLS FARGO CLEARING SERVICES, LLC since January 30, 2015
Disclosure History
ALAN A DEMATTIA has 2 Disclosure Event(s).
Date: October 13, 2004 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE THAT FA PUT THEIR RETIREMENT INCOME AT RISK BY MAKING UNSUITABLE INVESTMENTS. CUSTOMERS FURTHER ALLEGE THAT THEIR ACCOUNT WAS CHURNED GENERATING HIDDEN COMMISSIONS FOR THE FA. UNSPECIFIED DAMAGES ARE ALLEGED IN AN AMOUNT GREATER THAN $5,000.00. Broker Comment: MERRILL LYNCH FOUND THE PEER GROUP'S CLAIMS TO BE WITHOUT MERIT.
Date: December 22, 2000 Category: Customer Dispute Allegations: [CUSTOMER] ALLEGES THAT MR. DEMATTIA FAILED TO FOLLOW HIS VERBAL INSTRUCTION TO SELL ANY STOCK THAT DECLINED 20%. NO DAMAGES SPECIFIED. Settlement Amount: $15,000.00 Broker Comment: MERRILL LYNCH SETTLED THIS MATTER TO AVOID THE COSTS AND UNCERTAINTIES OF LITIGATION.
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