DAVID ROLF BOSSERT

DAVID ROLF BOSSERT is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 8251 NORTH PINE ISLAND ROAD, TAMARAC, FL, 33321.

DAVID ROLF BOSSERT has worked at WELLS FARGO CLEARING SERVICES, LLC since April 12, 2006

Disclosure History

DAVID ROLF BOSSERT has 2 Disclosure Event(s).

Date: July 09, 2010
Category: Customer Dispute
Allegations: CLAIMANT, A RESIDENT OF FLORIDA, ALLEGES BEGINNING IN 2007 MISREPRESENTATIONS WERE MADE REGARDING HER INVESTMENTS. CLAIMANT IS SEEKING DAMAGES OF $25,000.
Damage Amount Requested: $25,000.00 Damages Granted: $25,000.00
Broker Comment: I WAS NOT INVOLVED IN THE CLIENTS DECISION TO INVEST HER IRA FUNDS IN THE MANNER SHE AND HER FORMER ADVISOR CHOSE. THE CLIENT WAS ASSIGNED TO ME AFTER HER PRIOR ADVISOR LEFT WACHOVIA SECURITIES AND MY TOTAL INVOLVEMENT WAS LIMITED TO THE LIQUIDATION OF THE ASSETS THAT SHE HAD INDICATED TO ME THAT SHE NO LONGER WANTED TO OWN.

Date: April 09, 2001
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES THAT "ON FEBRUARY 7, MR. BOSSERT WAS ORDERED TO TRANSFER FUNDS INTO THE MONEY MARKET, HE DID NOT FOLLOW THROUGH, AND NEGLECTED TO DO SO."
Damage Amount Requested: $5,890.78
Broker Comment: CLAIM DENIED AS WITHOUT MERIT.

More Information

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

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