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DAVID L FRANK

DAVID L FRANK is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 160 MOUNT BETHEL RD, WARREN, NJ, 07059.

DAVID L FRANK has worked at WELLS FARGO CLEARING SERVICES, LLC since October 12, 2001

Disclosure History

DAVID L FRANK has 2 Disclosure Event(s).

Date: January 18, 2011
Category: Customer Dispute
Allegations: CLIENT INDICATES THAT FA ""DID NOT COMPLY" WITH REQUESTS TO "GET CLIENT OUT OF" BANK AND MORTGAGE STOCKS DURING 2008 AND "DELAYED TRANSFER" OF THE ACCOUNT. DAMAGES NOT SPECIFIED BUT BELIEVED TO EXCEED $5,000. (07/01/2008-04/17/2009)

Date: February 26, 2009
Category: Customer Dispute
Allegations: VERBAL COMPLAINT, CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS. (12/24/2008 - 02/13/2009)
Damage Amount Requested: $15,000.00
Settlement Amount: $15,000.00
Broker Comment: SETTLED FOR $15,000.

More Information

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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.

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