HENRY CARSON NORMAN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1710 E. ARLINGTON BLVD STE A, GREENVILLE, NC, 27858.
HENRY CARSON NORMAN has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
HENRY CARSON NORMAN has 2 Disclosure Event(s).
Date: January 01, 1982 Category: Customer Dispute Allegations: CUSTOMER RENEE K. PHARO COMPLAINED ABOUTUNSUITABLE TRANSACTIONS CLAIMING DAMAGES OF $50,000.00 Damage Amount Requested: $50,000.00 Settlement Amount: $23,000.00 Broker Comment: CASE WAS SETTLED FOR $23,000.00. HENRY NORMAN DIDNOT CONTRIBUTE TO THE SETTLEMENT.
Date: January 01, 1982 Category: Regulatory Initiated By: DEPT. OF THE SECRETARY OF STATE (N.C.) Allegations: CERTAIN CUSTOMERS OF MINE HAD ALLEGED THAT I HAD SOLD THEM STOCK IN SUNDANCE OIL COMPANY OF UTAH BASED ON ALLEGED INSIDE INFORMATION THAT SUNDANCE WOULD BE TAKEN OVER BYANOTHER COMPANY Resolution: Consent SanctionDetails: Sanctions: Suspension Sanction Details: 3 WEEK SUSPENSION Broker Comment: 3 WEEK SUSPENSION WITHOUT ADMITTING THE TRUTH OF ANY ALLEGATIONS, I ENTERED INTO THE CONSENT ORDER WITH THE STATE OF NORTH CAROLINA WHICH SUSPENDED MY LICENSE IN NORTH CAROLINA FOR THREE WEEKS. THE CUSTOMER COMPLAINTS WERE SETTLED AND MY LICENSE REINSTATED.
More Information
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