DAVID EUGENE HARTMAN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 200 MERIDIAN CTR, STES 110, 230 & 260, ROCHESTER, NY, 14618.
DAVID EUGENE HARTMAN has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003
Disclosure History
DAVID EUGENE HARTMAN has 2 Disclosure Event(s).
Date: December 28, 2015 Category: Customer Dispute Allegations: Client claims that the financial advisor recommended a wrap account without adequately explaining the fees. (12/01/2015)
Date: August 13, 2004 Category: Regulatory Initiated By: NEW YORK STATE DEPARTMENT OF INSURANCE Allegations: NONCOMPLIANCE WITH REGULATION 60 IN CONNECTION WITH VARIABLE ANNUITY REPLACEMENT TRANSACTIONS BETWEEN DECEMBER 1999 AND JULY 2002. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $3,500.00 Sanction Details: PENALTY PAID 01/18/2007. Broker Comment: THE STIPULATION STATES THAT (1) APPLICANT HAS NO DISCIPLINARY OR COMPLAINT HISTORY, (2) HE RECEIVED INADEQUATE TRAINING REGARDING REG 60 AND INSTEAD RELIED ON HIS EMPLOYER'S ANNUITY SALES DESK TO EFFECTUATE THE TRANSACTION(S) AT ISSUE AND (3) THE ANNUITANT(S) NEVER FILED ANY COMPLAINTS.
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