GREGORY KENNETH KAISER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1999 AVENUE OF THE STARS, STE 2200, LOS ANGELES, CA, 90067.
GREGORY KENNETH KAISER has worked at WELLS FARGO CLEARING SERVICES, LLC since January 05, 2012
Disclosure History
GREGORY KENNETH KAISER has 2 Disclosure Event(s).
Date: October 28, 2003 Category: Customer Dispute Allegations: CUSTOMER'S ATTORNEY ALLEGES THAT FA MADE UNSUITABLE INVESTMENT RECOMMENDATIONS THAT RESULTED IN SIGNIFICANT LOSSES Damage Amount Requested: $156,638.00 Broker Comment: THE CUSTOMER COMPLAINT IS DENIED.
Date: October 05, 1993 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABLE RECOMMENDATIONSOF CHARTER PACIFIC BANK STOCK. ALSO CLIENT ALLEGESMISREPRESENTATION. ALLEGED DAMAGES IN EXCESS OF $34,000.00 Settlement Amount: $25,000.00 Broker Comment: CUSTOMER UNILATERALLY AND FOR NO CONSIDERATIONFROM PSI WHITDREW ALL ALLEGATIONS AGAINST MR. KAISER.SUBSEQUENTLY TO MR. KAISER'S WITHDRAWAL, PRUDENTIAL AND THECLIENT SETTLED THIS MATTER, WITHOUT ADMISSION OF LIABILITY, FOR$25,000.00Not Provided
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