ANTHONY L DENTE is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 3399 PGA BLVD STE 400, PALM BEACH GARDENS, FL, 33410.
ANTHONY L DENTE has worked at WELLS FARGO CLEARING SERVICES, LLC since November 04, 2011
Disclosure History
ANTHONY L DENTE has 2 Disclosure Event(s).
Date: April 27, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FA RECOMMENDED UNSUITABLE BONDS FOR HIS ACCOUNT. BONDS WERE PURCHASED BEGINNING IN 1999. DAMAGES ESTIMATED TO EXCEED $5000. Broker Comment: THE CLIENT LATER INDICATED THAT HE NEVER INTENDED TO FILE A COMPLAINT. HE EXPLAINED THAT AN INDIVIDUAL WHO WORKS FOR A COMPETING FIRM WROTE THE LETTER AND HAD HIM SIGNED IT WITHOUT HIM FULLY UNDERSTANDING WHAT IT MEANT. HE ALSO INDICATED THAT THE LETTER WAS SENT TO UBS WITHOUT HIS PERMISSION AND THAT HE WAS VERY UPSET BY WHAT HAS HAPPENED.
Date: August 26, 1999 Category: Customer Dispute Allegations: $15,000.00 BRAZO SPORTS$11,750.00 ATS WOOD RECYCLING BOND Damage Amount Requested: $26,750.00 Broker Comment: THE CLIENTS SOUGHT OUT HIGH YIELD INVESTMENTS AND HIGH CURRENT INCOME. AT THE TIME OF THE PURCHASES THE TWO BONDS IN QUESTION MET THOSE CRITERIAS. THE CLIENTS KNEW WHAT THEY WERE PURCHASING.
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.
To view the full report for ANTHONY L DENTE, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.