ALLEN WAYNE YODA

ALLEN WAYNE YODA is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 331 NEWMAN SPRINGS RD BLDG 2, 3RD FLOOR, RED BANK, NJ, 07701.

ALLEN WAYNE YODA has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008

Disclosure History

ALLEN WAYNE YODA has 1 Disclosure Event(s).

Date: September 12, 2006
Category: Customer Dispute
Allegations: ALLEGED MANIPULATION FOR PERSONAL GAIN IN THAT I PRESSURED CUSTOMER INTO MAKING A SALE WHICH CAUSED TAX CONSEQUENCES. (2005)
Damage Amount Requested: $125,000.00
Broker Comment: I STRONGLY REFUTE THE ALLEGATIONS IN THE COMPLAINT. I FEEL THE CLIENT WAS FULLY AWARE OF THE TAX CONSEQUENCES IN SELLING A POSITION WITH A LARGE GAIN.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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