CYNTHIA DAY LAROCHE is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1441 W UTE BLVD STE 380, PARK CITY, UT, 84098.
CYNTHIA DAY LAROCHE has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003
Disclosure History
CYNTHIA DAY LAROCHE has 2 Disclosure Event(s).
Date: April 19, 2017 Category: Customer Dispute Allegations: Client verbally alleged FA manipulated and churned her account. (1/27/2016-4/19/2017) Damage Amount Requested: $60,000.00 Settlement Amount: $40,000.00 Broker Comment: I deny the allegations. In the interest of avoiding the costs of arbitration, a business decision was made to settle this complaint. As the register representative on this account, I have not been required to contribute any monetary amount to the settlement.
Date: March 13, 1992 Category: Customer Dispute Allegations: CLIENT ALLEGED $122,000 IN LOSSES DUE TOUNSUITABLE SECURITIES; UNAUTHORIZED TRADING. Damage Amount Requested: $122,000.00 Damages Granted: $30,000.00 Broker Comment: $5000 AWARD AGAINST MAZZARA PERSONALLY. TOTALAWARD $40,000.CLIENT ALLEGED UNSUITABLE SECURITIES OF WHICHCYNTHIA HELD ATTIBUTABLE TO $5,000.00
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