CHARLES RICHARD HUGHES

CHARLES RICHARD HUGHES is currently employed as a Broker and/or Investment Adviser at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located at 432 WEST SPRUCE, STE 102, MISSOULA, MT, 59802.

CHARLES RICHARD HUGHES has worked at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC since October 21, 2014

Disclosure History

CHARLES RICHARD HUGHES has 1 Disclosure Event(s).

Date: September 18, 2012
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES UNAUTHORIZED TRADING FROM MAY 2009 TO SEPTEMBER 2009.
Damage Amount Requested: $304,750.88
Settlement Amount: $225,000.00 12-03173

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.

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