DALE CHARLES HERRING

DALE CHARLES HERRING is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 13259 MILLARD AVENUE, OMAHA, NE, 68137.

DALE CHARLES HERRING has worked at WELLS FARGO CLEARING SERVICES, LLC since July 02, 2012

Disclosure History

DALE CHARLES HERRING has 1 Disclosure Event(s).

Date: March 21, 2001
Category: Criminal
Charges: ISSUING A BAD CHECK, $500 OR MORE, LESS THAN $1,500
Disposition: Pled not guilty
Amended Charges: ISSUING A BAD CHECK, $100 OR MORE, LESS THAN $500 - SECTION 28-611 (1), R.R.S. NEBRASKA (CLASS I MISDEMEANOR)
Amended Charge Type: MISDEMEANOR Amended Charge
Amended Charge Disposition: Pled guilty

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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