KRISTY TOSHIKO TOCHIHARA is currently employed as a Broker and/or Investment Adviser at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located at 801 MAIN ST, STE 300, LOUISVILLE, CO, 80027.
KRISTY TOSHIKO TOCHIHARA has worked at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC since February 12, 2016
Disclosure History
KRISTY TOSHIKO TOCHIHARA has 2 Disclosure Event(s).
Date: April 25, 2008 Category: Customer Dispute Allegations: THE COMPLAINT AROSE OUT OF THE SALE OF AN AUCTION RATE SECURITY (ARS) THAT WAS MADE PRIOR TO THE WIDESPREAD ILLIQUIDITY IN THE ARS MARKET THAT OCCURRED IN FEBRUARY 2008 Settlement Amount: $150,000.00
Date: March 06, 2008 Category: Customer Dispute Allegations: THE COMPLAINT AROSE OUT OF THE SALE OF AN AUCTION RATE SECURITY (ARS) THAT WAS MADE PRIOR TO THE WIDESPREAD ILLIQUIDITY IN THE ARS MARKET THAT OCCURRED IN FEBRUARY 2008 Settlement Amount: $125,000.00
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