DAVID EDWARD BEHLER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 9350 E ARAPAHOE RD 4TH FL, [MB-RBO], GREENWOOD VILLAGE, CO, 80112.
DAVID EDWARD BEHLER has worked at WELLS FARGO CLEARING SERVICES, LLC since January 03, 2011
Disclosure History
DAVID EDWARD BEHLER has 2 Disclosure Event(s).
Date: September 28, 1995 Category: Customer Dispute Allegations: CUSTOMER ALLEGES LOSSES OF $109,527.08RESULTING FROM MUTUAL FUND RECOMMENDATIONS. Damage Amount Requested: $109,527.08 Damages Granted: $26,400.00 Broker Comment: AN ARBITRATION PANEL HELD THAT ALL CLAIMSALLEGING COMMON LAW AND STATUATORY FRAUD, INCLUDING STATE ANDFEDERAL SECURITIES LAW FRAUD CLAIMS, BE DISMISSED AND THAT THECLIENT BE REIMBURSED AN AMOUNT EQUAL TO THE COMMISSIONS PAID($26,400) PLUS INTEREST.Not Provided
Date: December 19, 1964 Category: Criminal Charges: PETTY THEFT. APPROXIMATELY $5.00 WORTH OFHAMBURGERS AND FRENCH FRIES. Disposition: NEVER CHARGED/CASE DISMISSED. Broker Comment: IN THE SUMMER OF 1964 (AGE 19) FOUR OF US(INCLUDING MYSELF) REFUSED TO PAY FOR APPROXIMATELY $5.00 INHAMBURGERS FROM A ROCKYBILT RESTAURANT IN LAKEWOOD, COLORADO. ITWAS FELT THE SERVICE AND QUALITY OF FOOD WAS BELOW MINIMUMSTANDARDS AND NOT ACCEPTABLE. AS WE WALKED AWAY FOR THERESTAURANT, WE WERE APPREHENDED BY THE JEFFERSON COUNTYSHERIFF'S OFFICE. THE THE BEST OF MY KNOWLEDGE, WE WERE NEVERFORMALLY CHARGED. SUBSEQUENT TO THIS INCIDENT, I SERVED IN THEU.S. ARMY (SPECIAL FORCES) AND I WAS A SPECIAL AGENT FOR 12YEARS IN THE UNITED STATES SECRET SERVICE. I WAS GRANTEDAPPROPRIATE SECRET AND WHITE HOUSE CLEARANCES.
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.
To view the full report for DAVID EDWARD BEHLER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.