JOHN PATRICK MURPHY

JOHN PATRICK MURPHY is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 520 NEWPORT CENTER DR, STE 1700, NEWPORT BEACH, CA, 92660.

JOHN PATRICK MURPHY has worked at WELLS FARGO CLEARING SERVICES, LLC since September 04, 1990

Disclosure History

JOHN PATRICK MURPHY has 1 Disclosure Event(s).

Date: April 27, 1995
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATIONS ANDUNSUITABLE INVESTMENTS IN VARIOUS AMERICAN ADJUSTABLE RATE TERMTRUST CLOSED END FUNDS. DAMAGES SOUGHT $97,500.00
Damage Amount Requested: $100,000.00
Settlement Amount: $22,500.00
Broker Comment: THE ARBITRATION PANEL RULED TO DISMISS ALLCLAIMS AGAINST JOHN P MURPHY IN THEIR ENTIRETY. PIPER JAFFRAY PAID $20,000.00 AND EVEREN PAID $2,500.00

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 JOHN PATRICK MURPHY, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.