CHRISTOPHER NOONAN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 137 JACKSON AVE, SYOSSET, NY, 11791.
CHRISTOPHER NOONAN has worked at WELLS FARGO CLEARING SERVICES, LLC since May 15, 2015
Disclosure History
CHRISTOPHER NOONAN has 3 Disclosure Event(s).
Date: May 15, 2015 Category: Employment Separation After Allegations Firm Name: MSWM Termination Type: Voluntary Resignation Allegations: ALLEGATIONS RELATING TO REGISTERED REPRESENTATIVE'S EXERCISE OF TIME AND PRICE DISCRETION IN SEVERAL CLIENTS' ACCOUNTS.
Date: October 01, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGED UNSUITABILITY OF UNIT INVESTMENT TRUST PURCHASED IN MARCH 2000. Damage Amount Requested: $8,223.00 Settlement Amount: $4,111.41 Broker Comment: THE CLAIM WAS SETTLED FOR $4,111.41.
Date: November 30, 2001 Category: Customer Dispute Allegations: THE CLIENT'S ATTORNEY ALLEGED THAT THE CLIENT WAS MISLED WITH REGARD TO THE PURCHASE OF AN EQUITY. AUGUST 2000. Damage Amount Requested: $5,000.00 Broker Comment: THE CLIENT HAS NOT PURSUED CLAIM.
More Information
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