JAMES CLARKSON DEUSER

JAMES CLARKSON DEUSER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 40 N MAIN ST STE 2510, DAYTON, OH, 45423.

JAMES CLARKSON DEUSER has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008

Disclosure History

JAMES CLARKSON DEUSER has 4 Disclosure Event(s).

Date: August 24, 1995
Category: Customer Dispute
Allegations: UNSUITABILITY; DAMAGES ALLEGED TO BEAPPROXIMATELY $52,000.
Damage Amount Requested: $52,000.00
Settlement Amount: $17,499.00
Broker Comment: CASE WAS SETTLED FOR $17,499.NOT PROVIDED

Date: August 07, 1995
Category: Employment Separation After Allegations
Firm Name: PRUDENTIAL SECURITIES
Termination Type: Permitted to Resign
Allegations: N/AOMISSION OF AN ERROR IN A CUSTOMER ACCOUNTINGDAMAGES OF $11,000 7A. WHAT IS THE PRODUCT? COMMON STOCK
Broker Comment: PRUDENTIAL SECURITIES TERMINATED MY EMPLOYMENTCLIENT AGREED TO TAKE THE TRADE IN QUESTION BUTLATER CHANGED HIS MIND AND I DECIDED TO COVER THIS TRADE AS ANERROR. DAMAGES FROM THIS ERROR WERE TAKEN BY PRUDENTIALSECURITIES FROM MY JUNE COMMISSION CHECK.

Date: February 01, 1995
Category: Customer Dispute
Allegations: UNSUITABLE BOND PURCHASE. ALLEGED DAMAGES$12,000 7A. WHAT IS THE PRODUCT? OTC BOND
Damage Amount Requested: $12,000.00
Settlement Amount: $12,000.00
Broker Comment: PRUDENTIAL SECURITIES PAID THE CLIENT $12,000CLIENT WAS TOLD BY ME THAT THE BOND HAD GOODSECURITY PLEDGED TO THEM AND I RECEIVED THIS INFORMATION FROMTHE PRUDENTIAL SECURITIES BOND DEPARTMENT. LATER WHEN THE BONDSDROPPED IN VALUE, THE CUSTOMER OBJECTED. APPROXIMATELY ACCOUNTWAS $50,000.

Date: September 02, 1992
Category: Customer Dispute
Allegations: ALLEGEDLY UNSUITABLE RECOMMENDATIONS OFLIMITED PARTNERSHIPS AND SOME OTHER SECURITIES ACTUAL DAMAGESOF $666,400 ALLEGED
Damage Amount Requested: $162,787.00
Settlement Amount: $117,000.00
Broker Comment: SETTLED, WITH PSI AGREEDING TO PAY CUSTOMER THESUM OF $117,000I EMPHATICALLY DENY ANY WRONGDOING. I HADENCOURAGED CLAIMANT TO HOLD A SUBSTANTIAL STOCK POSITION,INSTEAD OF SELLING AS SHE WAS SUGGESTION. THE ACCOUNT OVERALLWAS PROFITABLE. I BELIEVE CLAIMANT IS UPSET IN HINDSIGHT ABOUTTHE PERFORMANCE OF THE LIMITED PARTNERSHIPS.

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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