FRANK DELFINO is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 461 FROM RD STE 101, PARAMUS, NJ, 07652.
FRANK DELFINO has worked at WELLS FARGO CLEARING SERVICES, LLC since January 10, 2000
Disclosure History
FRANK DELFINO has 3 Disclosure Event(s).
Date: February 01, 1993 Category: Customer Dispute Allegations: VARIOUS SECURITIES LAW VIOLATIONS Damage Amount Requested: $17,000.00 Settlement Amount: $17,000.00 Broker Comment: DEAN WITTER AGREED TO PAY $17,000 WITHOUTADMITTING LIABILITY TO AVOID THE EXPENSE OF LITIGATIONNot Provided
Date: February 01, 1993 Category: Customer Dispute Allegations: VARIOUS SECURITIES LAW VIOLATIONS Damage Amount Requested: $12,000.00 Settlement Amount: $12,000.00 Broker Comment: DEAN WITTER AGREED TO PAY $12,000 WITHOUTADMITTING LIABILITY TO AVOID THE EXPENSES OF LITIGATION.Not Provided
Date: February 15, 1985 Category: Employment Separation After Allegations Firm Name: TUCKER, ANTHONY & R. L. DAY, INC. Termination Type: Permitted to Resign Allegations: N/ANEGOTIATING A LOAN FROM A FRIEND WHO WAS ALSOA CUSTOMER OF THE FIRM Broker Comment: PERMITTED TO RESIGNTHE ALLEGATION BY TUCKER ANTHONY THAT INEGOTIATED A LOAN FROM A FRIEND IS TOTALLY FALSE. THISINDIVIDUAL WAS NOT A CUSTOMER. THERE WAS NEVER ANY TRANSACTIONMADE ON THIS PERSON'S BEHALF, NOR WAS THERE ANY CASH ORSECURITIES DELIVERED TO THE FIRM BY THIS PERSON TO TRANSACTBUSINESS WITH THE FIRM, CLEARLY, THIS INDIVIDUAL WAS NOT ACUSTOMER OF TUCKER ANTHONY AND THEIR ALLEGATIONS IS COMPLETLYFALSE.
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.
To view the full report for FRANK DELFINO, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.