LLOYD GEORGE GLAZER

LLOYD GEORGE GLAZER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located at 265 FRANKLIN ST, 4TH FL, BOSTON, MA, 02110.

LLOYD GEORGE GLAZER has worked at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC since November 18, 2005

Disclosure History

LLOYD GEORGE GLAZER has 1 Disclosure Event(s).

Date: October 27, 1993
Category: Customer Dispute
Allegations: MY FIRM HAS BEEN PROVIDED WITH A DRAFT OF ASTATEMENT OF CLAIM WHICH THESE FORMER CUSTOMERS INTEND TO FILEWITH THE NEW YORK STOCK EXCHANGE. THE STATEMENT OF CLAIM SEEKSACTUAL DAMAGES OF $45,000, DAMAGES FOR LOST INVESTMENTOPPORTUNITY, PUNITIVE DAMAGES, INTEREST AND ATTORNEYS FEES. THECLAIMANTS ALLEGE THAT I URGED THE CLAIMANTS TO PURCHASEAMERICAN HEALTHY SERVICES (AHS) SHARES BASED UPON MYREPRESENTATION THAT I WAS IN POSSESSION OF MATERIAL NON-PUBLICINFORMATION CONCERNING THE COMPANY THE CLAIMANTS WERE AWARETHAT I WAS A MEMBER OF THE BOARD OF DIRECTORS OF AHS.
Damage Amount Requested: $45,000.00
Settlement Amount: $15,000.00
Broker Comment: THE ENTIRE AMOUNT OF THE SETTLEMENT WAS CHARGEDTO ME. THE AMOUNT OF THE SETTLEMENT WAS $15,000.NOT PROVIDED

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