DAVID EUGENE HARTMAN

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.

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.

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