JASON JAMES HUGELE is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 820 GESSNER STE 1400, HOUSTON, TX, 77024.
JASON JAMES HUGELE has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
JASON JAMES HUGELE has 2 Disclosure Event(s).
Date: May 07, 2009 Category: Customer Dispute Allegations: ALLEGES UNAUTHORIZED TRADES AND CHURNING. DATES NOT SPECIFIED. Damage Amount Requested: $31,896.00 Settlement Amount: $1,943.50 Broker Comment: FIRM DENIED CLIENT'S CLAIM, BUT SETTLED MATTER FOR BUSINESS PURPOSES.**FA'S RESPONSE: CLIENT AUTHORIZED SIX STOP ORDERS TO SELL ON APRIL 3, 2009, WHICH WERE SUBSEQUENTLY FILLED BETWEEN APRIL 6, 2009 AND APRIL 28, 2009. THESE SIX TRANSACTIONS WERE THE ONLY TRANSACTIONS THAT OCCURRED IN THE ACCOUNT SINCE I HAVE BEEN THE CLIENT'S FINANCIAL ADVISOR.
Date: April 18, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGED FAILURE TO EXECUTE TRADES AS INSTRUCTED, BUYING OF SECURITIES THAT WERE NOT REQUESTED, CHURNING, AND POOR INVESTMENT ADVICE. (2008) Damage Amount Requested: $34,000.00 Settlement Amount: $2,500.00 Broker Comment: A BUSINESS DECISION WAS MADE TO SETTLE THIS MATTER WITHOUT ANY ADMISSION OF WRONGDOING.
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