DAVID JEFFREY BIRNBAUM is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1133 WESTCHESTER AVE 3RD FL, STE S331, WHITE PLAINS, NY, 10604.
DAVID JEFFREY BIRNBAUM has worked at WELLS FARGO CLEARING SERVICES, LLC since April 11, 2016
Disclosure History
DAVID JEFFREY BIRNBAUM has 2 Disclosure Event(s).
Date: April 16, 2008 Category: Customer Dispute Allegations: THE CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO INVESTMENT STRATEGY - 2006 THROUGH 2007. DAMAGES UNSPECIFIED
Date: April 01, 1989 Category: Regulatory Initiated By: COMMODITY FUTURES TRADE COMMISSION Allegations: FAILURE TO PAY REPARATIONS AWARD OF$10,785.75. Resolution: Order SanctionDetails: Sanctions: Suspension Sanction Details: DAVID J. BIRNBAUM IS PROHIBITED FROM TRADING ON ANY CONTRACTMARKET AND SUSPENDED FOR FAILURE TO PAY REPARATIONS AWARD OF$10,785.75. Broker Comment: THERE WERE NO ALLEGATIONS AGAINST ME IN THISCASE. MY ONLY INVOLVEMENT WAS THAT I SPOKE TO MS. RUCKSTAHLONCE, WHILE JOHN BERRY WAS ON VACATION. AS MR. BERRY'SMANAGER, I HAD NO OTHER INVOLVEMENT WHATSOEVER. MS. RUCKSTAHLAND I SETTLED IN OCT 89, AND INFACT, THE FINAL VERDICT WASN'TREACHED UNTIL DECEMBER OF 89.
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