ANDREA LEE NICOLOPOULOS is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1515 W 22ND ST STE 700, OAK BROOK, IL, 60523.
ANDREA LEE NICOLOPOULOS has worked at WELLS FARGO CLEARING SERVICES, LLC since September 19, 1996
Disclosure History
ANDREA LEE NICOLOPOULOS has 1 Disclosure Event(s).
Date: May 14, 2002 Category: Customer Dispute Allegations: CUSTOMER'S HUSBAND STATES THAT FA FAILED TO TAKE INTO ACCOUNT THEIR RISK TOLERANCE AND INVESTMENT OBJECTIVES IN MAKING INVESTMENTS WHICH HAS RESULTED IN THE LOSS OF 30% OF THEIR ACCOUNT ASSEDTS. ACTIVITY OCCURRED BETWEEN MAY 2000 AND SEPT 2001. Damage Amount Requested: $200,000.00 Broker Comment: FIRM SENT LETTER TO CUSTOMER STATING THAT ACCOUNT WAS HANDLED CONSISTENT WITH INVESTMENT OBJECTIVES AND THAT WE SAW NO EVIDENCE THE ASSETS WERE SPREAD AMONG 28 DIFFERENT MUTUAL FUNDS.
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