MARK ANTHONY FILARDI is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 2400 DALLAS PKWY STE 100, PLANO, TX, 75093.
MARK ANTHONY FILARDI has worked at WELLS FARGO CLEARING SERVICES, LLC since September 21, 2007
Disclosure History
MARK ANTHONY FILARDI has 2 Disclosure Event(s).
Date: June 23, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT HE WANTED LOW RISK INVESTMNETS, AND THAT FIRST PLUS AND GENESIS HEATH VENTURES COMMON STOCK WERE UNSUITABLEFOR HIS ACCOUNT. Damage Amount Requested: $40,000.00 Broker Comment: MERRILL LYNCH FOUND THAT MR. ADAIR'S RECOMMENDATION TO PURCHASE FIRST PLUS AND GENESIS HEALTH VENTURES COMMON STOCK WERE SUITABLE FOR CUSTOMER'S ACCOUNT BASED ON HIS INVESTMENT OBJECTIVE OF TOTAL RETURN AND AGGRESSIVE RISK TOLERANCE.
Date: May 11, 1975 Category: Criminal Charges: PETIT LARCENY: (1) ONE COUNT; (2) MISDEMEANOR; (3) CHARGE REDUCED TO A NON-REPORTABLE OFFENCE. Charge Type: MISDEMEANOR Disposition: CHARGE REDUCED TO A NON-REPORTABLE OFFENCE.
More Information
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