CYNTHIA HARMAN MARSTELLER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1021 E CARY ST 22ND FL, JAMES CENTER II, RICHMOND, VA, 23219.
CYNTHIA HARMAN MARSTELLER has worked at WELLS FARGO CLEARING SERVICES, LLC since October 01, 1999
Disclosure History
CYNTHIA HARMAN MARSTELLER has 3 Disclosure Event(s).
Date: February 07, 2017 Category: Customer Dispute Allegations: Claimant alleges that from 2012 and 2015, the FA made unsuitable investments. Settlement Amount: $85,000.00 Broker Comment: The customer's claim had no merit and the firm settled the matter for $85000 only to avoid the expense of further arbitration.
Date: August 27, 2013 Category: Criminal Charges: 18.2-250 POSSESSION OF CONTROLLED SUBSTANCE Disposition: NOLLE PROSEQUI
Date: February 11, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE IR FAILED TO DISCLOSE THE FINANCIAL PROBLEMS RELATING TO MARVEL III HOLDINGS, INC. IN ADDITION, THE CLIENT ALLEGES THAT THE IR ASSURED HIM THAT THE INVESTMENT WITH THESE BONDS WAS SAFE. FINALLY, THE CLIENT ALLEGES THAT HE HAS TRIED NUMEROUS TIMES TO GET INFORMATION FROM THE FIRM SINCE THE IR'S DEPARTURE, BUT THAT INDIVIDUALS AT THE BRANCH HAVE BEEN UNRESPONSIVE TO HIS INQUIRES. Damage Amount Requested: $28,200.00
More Information
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