MARK ALLEN SEWALSON is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 7400 W 130TH ST STE 200, OVERLAND PARK, KS, 66213.
MARK ALLEN SEWALSON has worked at WELLS FARGO CLEARING SERVICES, LLC since October 24, 2000
Disclosure History
MARK ALLEN SEWALSON has 2 Disclosure Event(s).
Date: June 10, 1999 Category: Customer Dispute Allegations: GEORGE K. BAUM & COMPANY RECEIVED A COMPLAINTFROM THE CUSTOMER ALLEGING EXCESSIVE AND UNSUITABLE TRADINGRESULTING IN A LOSS EXCEEDING $25,000. Damage Amount Requested: $25,000.00 Settlement Amount: $45,623.00 Broker Comment: NOT PROVIDEDNOT PROVIDED
Date: June 01, 1974 Category: Criminal Charges: SHOPLIFTING Charge Type: MISDEMEANOR Disposition: CHARGES WERE NEVER FILED. Broker Comment: IN JUNE 1974, I WAS CAUGHT SHOPLIFTING AT LEWIS DRUG STORE IN SIOUX FALLS, SOUTH DAKOTA. IT HAPPENED WHEN I WAS A JUVENILE AT AGE 13. I WAS PICKED UP BY MY PARENTS AND TOLD NEVER TO DO IT AGAIN. IT SEEMS THAT I NEGLIGENTLY PUT THIS DOWN ON MY U-4 AT DEAN WITTER. AS I RECALL, THIS OCCURRENCE DID NOT END UP ON ANY RECORDS. IT NEVER WENT TO ANY COURT AND I WAS NEVER CONVICTED OF ANY MISDEMEANOR.
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