LISA D LITTLES is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 3801 KENNETT PIKE, B-200, GREENVILLE, DE, 19807.
LISA D LITTLES has worked at WELLS FARGO CLEARING SERVICES, LLC since March 23, 2000
Disclosure History
LISA D LITTLES has 1 Disclosure Event(s).
Date: October 06, 2014 Category: Customer Dispute Allegations: PLAINTIFF ALLEGES THAT IN OCTOBER 2011 HER F.A. ADVISED HER TO WITHDRAW MONEY FROM HER I.R.A. WITHOUT DISCLOSING THAT THERE MAY BE ADVERSE TAX CONSEQUENCES. Settlement Amount: $24,999.00 Broker Comment: WITHOUT ADMITTING ANY LIABILITY, THE FIRM SETTLED THE MATTER FOR $24,999.00 TO AVOID FURTHER ARBITRATION.
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