JAMES BERNARD HERZOG

JAMES BERNARD HERZOG is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 877 W MAIN ST STE 1100, [WJ*/WB-RBO], BOISE, ID, 83702.

JAMES BERNARD HERZOG has worked at WELLS FARGO CLEARING SERVICES, LLC since March 14, 2014

Disclosure History

JAMES BERNARD HERZOG has 4 Disclosure Event(s).

Date: September 19, 2014
Category: Financial
Type: Compromise
Disposition: Discharged
Broker Comment: BOTH DRPS WITH THE SAME DATE ARE FOR THE SAME PROPERTY AND EVENT.

Date: September 19, 2014
Category: Financial
Type: Compromise
Disposition: Discharged
Broker Comment: BOTH DRPS WITH THE SAME DATE ARE FOR THE SAME PROPERTY AND EVENT.

Date: December 18, 2012
Category: Financial
Type: Compromise
Disposition: Discharged
Broker Comment: BOTH DRP FORMS ARE FOR THE SHORT SALE OF THE SAME HOME.

Date: December 18, 2012
Category: Financial
Type: Compromise
Disposition: Discharged
Broker Comment: BOTH DRP FORMS ARE FOR THE SHORT SALE OF THE SAME HOME.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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

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