MARILYN HOLOF

MARILYN HOLOF 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.

MARILYN HOLOF has worked at WELLS FARGO CLEARING SERVICES, LLC since April 27, 2015

Disclosure History

MARILYN HOLOF has 2 Disclosure Event(s).

Date: August 28, 2008
Category: Customer Dispute
Allegations: CLIENT ALLEGED THAT THE PURCHASE OF AN ANNUITY WAS MISREPRESENTED. DAMAGES UNSPECIFIED. FEBRUARY 2008.

Date: September 29, 1995
Category: Employment Separation After Allegations
Firm Name: MERRILL LYNCH
Termination Type: Permitted to Resign
Allegations: N/AALLEGED THAT MS. HOLOF HAD RECOMMENDED ASTOCK PURCHASE BASED UPON ALLEGED INSIDE INFORMATION.
Broker Comment: PERMITTED TO RESIGNMS. HOLOF RESIGNED DURING THE COURSE OF ANINTERNAL REVIEW. MS. HOLOF DENIES THE ALLEGATIONS.

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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