JOHN PATRICK RAUCH is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 331 NEWMAN SPRINGS RD BLDG 2, 3RD FLOOR, RED BANK, NJ, 07701.
JOHN PATRICK RAUCH has worked at WELLS FARGO CLEARING SERVICES, LLC since May 30, 2012
Disclosure History
JOHN PATRICK RAUCH has 2 Disclosure Event(s).
Date: October 31, 2017 Category: Customer Dispute Allegations: While Claimant does not allege that the FA himself engaged in any improper practice, they allege that as a partner of the FA alleged to engage in improper activities, he is jointly liable for the wrongdoings. Claimants alleges that from 2012 through 2016 unsuitable money managers were recommended.
Date: March 10, 2015 Category: Customer Dispute Allegations: AUTHORIZED THIRD-PARTY ALLEGES THE AMOUNT OF TRADES PERFORMED IN THE DISPUTED MANAGED ACCOUNTS AND THE FEES ASSOCIATED WITH THEM WERE NOT CONSISTENT WITH THE CLIENT'S OBJECTIVES. (10/14/2013) Damage Amount Requested: $13,266.81 Settlement Amount: $10,297.88
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