DANIEL ARTHUR EVANS is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1201 3RD AVE STE 3500, SEATTLE, WA, 98101.
DANIEL ARTHUR EVANS has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003
Disclosure History
DANIEL ARTHUR EVANS has 2 Disclosure Event(s).
Date: March 13, 2003 Category: Customer Dispute Allegations: REPRESENTATIVE FOR INSTITUTIONAL ACCOUNTS ALLEGED THAT FC FAILED TO DISCLOSE MUTUAL FUND SALES CHARGES - FEB, 2003. Damage Amount Requested: $80,000.00 Settlement Amount: $80,000.00 Broker Comment: THIS COMPLAINT HAS BEEN COMPLETELY MISCHARACTERIZED BY MY FORMER FIRM. THERE WAS NO FAILURE TO DISCLOSE A MUTUAL FUND SALES CHARGE ON MY PART. THIS WAS A OPERATIONAL FAILURE TO PROCESS THE ORDER PROPERLY. MY FORMER FIRM RESOLVED THE ISSUE BY PROPERLY PROCESSING THE CLIENTS ORDER.
Date: September 01, 1984 Category: Criminal Charges: ARRESTED FOR INVESTIGATION OF THEFT BY STEALING, MISDEMEANOR, NO CHARGES BROUGHT Charge Type: MISDEMEANOR Disposition: NO CHARGES Broker Comment: COMING BACK FROM EVENING OUT WITH SEVERAL FRIENDS FROM FRATERNITY, DROVE BY LUMBER YARD AND TOOK SOME LUMBER THAT WAS ON SIDWALK. NEIGHBOR CALLED POLICE, POLICE STOPPED US A FEW BLOCKS AWAY. LUMBERYARD WAS NOT IWLLING TO PRESS CHARGES. POLICE DROPPED CASE.
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