CHRISTOPHER KENT HERMAN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 8115 PRESTON RD, STE 300, DALLAS, TX, 75225.
CHRISTOPHER KENT HERMAN has worked at WELLS FARGO CLEARING SERVICES, LLC since November 11, 2005
Disclosure History
CHRISTOPHER KENT HERMAN has 2 Disclosure Event(s).
Date: May 04, 2015 Category: Customer Dispute Allegations: CLAIMANT ALLEGES UNSUITABLE RECOMMENDATIONS WERE MADE IN ACCOUNTS OPENED IN OR ABOUT 2009. Settlement Amount: $225,000.00 Broker Comment: Without admitting any liability, the Firm settled the matter for $225,000.00 to avoid the costs and expenses of arbitration. The FA took no part in payment of the settlement.
Date: February 11, 1999 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGED MISREPRESENTATION.CLAIMED DAMAGES OF $5800 COMPLAINT RECEIVED BY MERRILL LYNCH. Damage Amount Requested: $5,800.00 Settlement Amount: $2,176.00 Broker Comment: AS A BUSINESS DECISION, IN ORDER TO AVOID THECOSTS AND UNCERTAINTIES OF LITIGATION, THIS MATTER WAS SETTLEDFOR $2176. BROKER DID NOT CONTRIBUTE TO THE SETTLEMENT.NOT PROVIDED
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