JEFFREY DONALD THIELE

JEFFREY DONALD THIELE is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 70 N COUNTRY RD STE 301, PORT JEFFERSON, NY, 11777.

JEFFREY DONALD THIELE has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008

Disclosure History

JEFFREY DONALD THIELE has 2 Disclosure Event(s).

Date: July 25, 2008
Category: Customer Dispute
Allegations: ALLEGED IRS PENALTY BECAUSE I FAILED TO DISCLOSE TAX IMPLICATIONS AND LET HIM WITHDRAW 2 WEEKS PRIOR TO HIS BECOMING 59 1/2 YEARS OLD. ALLEGED DAMAGES, BELIEVED TO BE $5,000. (2/15/07)

Date: June 29, 1993
Category: Customer Dispute
Allegations: MISREPRESENTED PROFIT/LOSS IN CONNECTION WITHSALE OF MUTUAL FUND. FAILED TO DISCLOSE SALES CHARGES INCONNECTION WITH PURCHASE OF MUTUAL FUND. SUITABILITY OF STOCKPURCHASE. ALLEGED DAMAGES OF $43,600.00. 7A. WHAT IS THEPRODUCT? ANCON GENETICS STOCK AND MUTUAL FUND
Damage Amount Requested: $43,600.00 Damages Granted: $3,000.00
Broker Comment: ARBITRATORS AWARDED CLAIMANTS $3,000.00. JEFFREYTHIELE WILL CONTRIBUTE $625.00.9A. WHAT FIRM DID THE TRANSACTION TAKE PLACE?A.G. EDWARDS & SONS, INC. & FIRST EMPIRE SEC.

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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