DARYL RAY FARIS is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 74760 HIGHWAY 111, STE 100, INDIAN WELLS, CA, 92210.
DARYL RAY FARIS has worked at WELLS FARGO CLEARING SERVICES, LLC since January 08, 2010
Disclosure History
DARYL RAY FARIS has 3 Disclosure Event(s).
Date: April 06, 2012 Category: Customer Dispute Allegations: THE CLIENT ALLEGES HIS FINANCIAL ADVISORS PLACED HIM IN C SHARES WHICH WERE INAPPROPRIATE AND EXPENSIVE. TIME FRAME: JULY 2007 TO JANUARY 2010. Damage Amount Requested: $10,000.00 Settlement Amount: $6,000.00
Date: July 06, 2009 Category: Customer Dispute Allegations: NEGLIGENT MISREPRESENTATION, BREACH OF FIDUCIARY DUTY, AND BREACH OF CONTRACT Damage Amount Requested: $75,000.00 Broker Comment: PLEASE ARCHIVE: CLAIMANT AND UBS SETTLED ALL CLAIMS AND AN EXPUNGEMNENT HEARING WAS CONDUCTED BY THE ARBITRATION PANEL. THE PANEL AWARD RECOMMENDED EXPUNGEMENT OF ALL CLAIMS FROM MR. FARIS' REGISTRATION RECORDS ON THE BASIS THAT THE CLAIM, INFORMATION OR ALLEGATION IS FALSE.
Date: January 01, 1989 Category: Customer Dispute Allegations: EXECUTIONS-FAILURE TO EXECUTE-ALLEGED DAMAGESOF $11,756.00 Damage Amount Requested: $11,756.00 Damages Granted: $1,939.00 Broker Comment: RELIEF AWARDED; ACTUAL/COMPENSATORY DAMAGESRELIEF HAS BEEN AWARDED, AWARD AMOUNT $1539.00; OTHER COSTS -RELIEF HAS BEEN AWARDED (PARTIAL) AWARD AMOUNT $400.00;INTEREST-RELIEF REQUEST HAS BEEN DENIED IN FULL.Not Provided
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