FRED ERIC HIRSH is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 221 N KANSAS ST 1ST FL, [TF*/TK-RBO], EL PASO, TX, 79901.
FRED ERIC HIRSH has worked at WELLS FARGO CLEARING SERVICES, LLC since January 03, 2011
FRED ERIC HIRSH has 2 Disclosure Event(s).
Date: March 28, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT HE REQUESTED A RATED, NO RISK, GOOD QUALITY BONDS AND ONE OF THE BONDS SOLD TO HIM HAD A NEGATIVE OUTLOOK BY FITCH A YEAR BEFORE IT WAS SOLD TO HIM. (01/08/2010) Damage Amount Requested: $6,000.00 Broker Comment: CLIENT WAS CALLED ON THIS BOND AND GIVEN ALL INFORMATION ON BOND AS TO ISSUER, RATING, AND HISTORY OF BOND. CLIENT WAS AWARE AND KNOWLEDGEABLE AS TO THE CURRENT RATING AND THE CONDITIONS OF THE MUNICIPAL MARKET AND MORE IMPORTANTLY THAT OF THE STATE OF THE ISSUER. THIS BOND WAS ATTRACTIVE TO THE CLIENT BECAUSE THE ISSUER WAS AN EDUCATIONAL INSTITUTION. ** COMPLAINT DENIED.
Date: June 16, 2009 Category: Customer Dispute Allegations: THE COMPLAINT AROSE OUT OF THE SALE OF AN AUCTION RATE SECURITY (ARS) THAT WAS MADE PRIOR TO THE WIDESPREAD ILLIQUIDITY IN THE ARS MARKET THAT OCCURRED IN FEBRUARY 2008. ACTIVITY DATE(S): 12/19/2005 Damage Amount Requested: $50,000.00 Settlement Amount: $50,000.00 Broker Comment: THE FIRM REPURCHASED THE ARS SECURITIES AT ISSUE FROM THE CLIENT PURSUANT TO A GLOBAL REPURCHASE AGREEMENT IT ENTERED WITH SEVERAL REGULATORY BODIES. THIS WAS NOT A TRADITIONAL SETTLEMENT OF A DISPUTE BETWEEN THE CLIENT AND THE REPRESENTATIVE. THE NAMED REPRESENTATIVE: WAS NOT A PARTY TO, AND DID NOT AGREE TO OR PARTICIPATE IN, THE REPURCHASE AGREEMENT BETWEEN THE FIRM AND REGULATORS; THE NAMED REPRESENTATIVE DID NOT MAKE ANY PAYMENTS TO THE CLIENT; AND THE NAMED REPRESENTATIVE WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE REPURCHASE AMOUNT. THIS MATTER IS BEING REPORTED AS A SETTLEMENT PURSUANT TO THE REQUIREMENTS OF FINRA REGULATORY NOTICE 09-12.
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