JAMES WILLIAM ROYAN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 350 RYMAN ST, STE 200, MISSOULA, MT, 59802.
JAMES WILLIAM ROYAN has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
JAMES WILLIAM ROYAN has 1 Disclosure Event(s).
Date: July 16, 1993 Category: Customer Dispute Allegations: THE CLASS COMPLAINTANTS ALLEGED CLAIMSARISING FROM SALES OF HOMESTEAD BONDS OFFERED BY MURPHEYFAURE,INC.-AND ALL MONTANA BROKERS. MURPHEY FAURE INC. (NOWCALLED WM FINANCIAL SERVICES INC.) MARKETED APPROXIMATELY $2MILLION HOMESTAD BONDS IN MONTANA Settlement Amount: $2,000,000.00 Broker Comment: MURPHEY FAURE INC AND CLASS MEMBERS REACHED ASETTLEMENT IN THE AMOUNT OF $2 MILLION TO BE PAID TO CLAIMANTS.I DID NOT HAVE ANY LIABILITIES NOR DID I VIOLATE ANY SECURITIESLAWS.I DID NOT VIOLATE ANY SECURITIES LAWS. THERE WERENO FINDINGS BY THE COURT OR ANY AGENCY OF ANY LIABILITIES ORVIOLATIONS OF SECURITIES LAWS. I PAID NO SETTLEMENT ORPENALTIES AS PART OF THE SETTLEMENT. THE CASE WAS FILED AGAINSTMURPHEY FAURE INC. (NOW CALLED WM FINANCAIL SERVICES INC.) ANDALL MONTANA BROKERS. MURPHEY FAURE INC (NOW CALLED WM FINANCIALSERVICES,INC.)
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.
To view the full report for JAMES WILLIAM ROYAN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.