GREGORY ALAN WARNER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 2001 CLARK AVE, RALEIGH, NC, 27605.
GREGORY ALAN WARNER has worked at WELLS FARGO CLEARING SERVICES, LLC since June 15, 2002
Disclosure History
GREGORY ALAN WARNER has 2 Disclosure Event(s).
Date: June 06, 2003 Category: Customer Dispute Allegations: NORTH CAROLINA RESIDENT CLAIMS MUTUAL FUNDS PURCHASED 2000-2002 WERE TOO HIGH RISK GIVEN CLIENTS' AGES AND TIME HORIZON. Damage Amount Requested: $80,000.00 Broker Comment: CLAIM DENIED. TRADES WERE SUITABLE BASED ON NEW ACCOUNT DOCUMENTS AND FA'S CONVERSATIONS WITH CLIENTS, WHICH WERE DOCUMENTED IN HIS NOTES.
Date: September 12, 2002 Category: Customer Dispute Allegations: NORTH CAROLINA RESIDENT CLAIMS $200,000 INVESTMENT DROPPED 30% BECAUSE BROKER MADE "IMPROPER INVESTMENTS FOR A PERSON MY AGE (63 AT THE TIME)" WHEN HE INVESTED IN AN EQUITY MUTUAL FUND PORTFOLIO. MUTUAL FUNDS WERE PURCHASED 6/30/00. Damage Amount Requested: $60,000.00 Broker Comment: CLAIM DENIED. LETTER SENT TO CLIENT EXPLAINING INVESTMENTS WERE APPROPRIATE GIVEN HER STATED INVESTMENT OBJECTIVES. DECLINE CAUSED BY MARKET ACTION, NOT INAPPROPRIATE RECOMMENDATIONS.
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