LAWRENCE CHARLES NAPP

LAWRENCE CHARLES NAPP is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 19950 W COUNTRY CLUB DR STE 700, AVENTURA, FL, 33180.

LAWRENCE CHARLES NAPP has worked at WELLS FARGO CLEARING SERVICES, LLC since February 17, 2016

Disclosure History

LAWRENCE CHARLES NAPP has 1 Disclosure Event(s).

Date: March 14, 2008
Category: Customer Dispute
Allegations: ATTORNEY FOR MO RESIDENT WRITES THAT CLIENT WAS TOLD HIS MARS COULD BE SOLD AT AUCTION WITHIN 7 DAYS.
Damage Amount Requested: $5,000.00
Broker Comment: THIS COMPLAINT AROSE OUT OF THE UNPRECEDENTED ILLIQUIDITY IN THE AUCTION RATE SECURITIES MARKET, A SITUATION THE FA DID NOT CAUSE AND OVER WHICH THE FA HAD NO CONTROL.

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.

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