ANDREW ALAN LEE is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 5301 WISCONSIN AVE STE 400, WASHINGTON, DC, 20015.
ANDREW ALAN LEE has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
ANDREW ALAN LEE has 2 Disclosure Event(s).
Date: February 08, 2010 Category: Customer Dispute Allegations: CLAIMANTS, RESIDENTS OF FLORIDA, ALLEGED UNSUITABLE INVESTMENT RECOMMENDATIONS OF AN ASSET MANAGEMENT COMPANY IN 2004, AND LATER OF PREFERRED STOCK IN 2008, WERE MADE TO THEM TO INVEST IN THEIR ACCOUNTS. CLAIMANTS SOUGHT DAMAGES OF AT LEAST $525,116. Settlement Amount: $25,000.00 Broker Comment: WELLS FARGO AGREED TO SETTLE THIS MATTER FOR $25,000.00 IN ORDER TO AVOID THE DISTRACTION AND EXPENSE OF FURTHER ARBITRATION. THIS SETTLEMENT DOES NOT REPRESENT AN ADMISSION OF LIABILITY, WRONGDOING, OR VIOLATION OF LAW.
Date: June 08, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT $42,500 WAS WITHDRAWN FROM ACCOUNT WITHOUT PROPER AUTHORIZATION. (10/08/2007, 10/19/2007 & 10/25/2007) Damage Amount Requested: $42,500.00
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