C JOHN CHEN

C JOHN CHEN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 3105 GLENWOOD AVE STES 201 & 302, RALEIGH, NC, 27612.

C JOHN CHEN has worked at WELLS FARGO CLEARING SERVICES, LLC since November 14, 2014

Disclosure History

C JOHN CHEN has 2 Disclosure Event(s).

Date: July 10, 2017
Category: Customer Dispute
Allegations: Client claimed FA failed to remove market risk by remaining in cash as instructed. (1/6/2015-7/10/2017)

Date: June 14, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $6,859.83
Judgment/Lien Type: Civil

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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