GLORIA A LEIBIG

GLORIA A LEIBIG is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 165 TOWNSHIP LINE RD STE 200, TWO PITCAIRN PLACE, JENKINTOWN, PA, 19046.

GLORIA A LEIBIG has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003

Disclosure History

GLORIA A LEIBIG has 4 Disclosure Event(s).

Date: December 14, 2005
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES THAT, COMMENCING AFTER 1998, HIS ACCOUNT WAS SUBJECTED TO UNSUITABLE INVESTMENT RECOMMENDATIONS
Damage Amount Requested: $250,000.00
Settlement Amount: $33,333.00

Date: September 03, 2003
Category: Customer Dispute
Allegations: VIA AN ATTORNEY, CLIENT ALLEGES "MISHANDLING OF HER ACCOUNT." ALLEGED DAMAGES IN EXCESS OF $175000.00
Damage Amount Requested: $175,000.00 Damages Granted: $25,000.00

Date: October 08, 2002
Category: Customer Dispute
Allegations: CLIENT ALLEGED FA MADE UNSUITABLE INVESTMENTS FOR HER BASED ON HER AGE AND NEARNESS TO RETIREMENT. FIRST TRADE OCCURRED ON 12/23/99 AND LAST TRADE OCCURRED 5/8/01
Damage Amount Requested: $87,000.00
Settlement Amount: $29,189.25
Broker Comment: MATTER SETTLED FOR $29,189.25

Date: December 29, 2000
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT FINANCIAL CONSULTANT MADE UNSUITABLE INVESTMENT RECOMMENDATIONS.
Damage Amount Requested: $10,050.00
Settlement Amount: $3,500.00
Broker Comment: IN ORDER TO AVOID THE COSTS AND COSTS AND UNCERTAINTIES OF LIGATION, MERRILL LYNCH MADE A BUSINESS DECISION TO SETTLE THE MATTER.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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