ARTHUR MASATOSHI SAIKI is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1001 BISHOP ST, STE 1900, HONOLULU, HI, 96813.
ARTHUR MASATOSHI SAIKI has worked at WELLS FARGO CLEARING SERVICES, LLC since February 02, 2009
Disclosure History
ARTHUR MASATOSHI SAIKI has 1 Disclosure Event(s).
Date: May 05, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT FINANCIAL ADVISORS REPRESENTED AUCTION RATE SECURITIES TO BE A LIQUID INVESTMENT IN 2007. Broker Comment: ALLEGED COMPENSATORY DAMAGE AMOUNT UNSPECIFIED. UNABLE TO CONCLUDE THAT DAMAGES ARE UNDER $5,000.00. THIS COMPLAINT AROSE AS A RESULT OF THE UNPRECEDENTED ILLIQUIDITY IN THE AUCTION RATE SECURITIES MARKET. RECENT FAILED AUCTIONS HAVE LED TO AN INDUSTRY-WIDE PROBLEM AFFECTING ALL AUCTION RATE SECURITIES HOLDERS OVER WHICH THE FINANCIAL ADVISOR DID NOT HAVE CONTROL.
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