MARSHALL HERBERT BROOKNER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 3727 WILLIAMS DR, GEORGETOWN, TX, 78628.
MARSHALL HERBERT BROOKNER has worked at WELLS FARGO CLEARING SERVICES, LLC since October 14, 2004
Disclosure History
MARSHALL HERBERT BROOKNER has 2 Disclosure Event(s).
Date: November 06, 1996 Category: Customer Dispute Allegations: PREVIOUSLY REPORTED ON 12/24/96 Damage Amount Requested: $23,907.00 Settlement Amount: $10,000.00 Broker Comment: DEAN WITTER AND MARSHALL BROOKNER AGREED TO PAYCLAIMANT A TOTAL OF $4,500.00 WITHOUT ADMITTING LIABILITY ANDTO AVOID THE EXPENSE OF FURTHER LITIGATION. MR BROOKNER WILLCONTRIBUTE $3,250.00 TOWARD THE SETTLEMENT.Not Provided
Date: October 28, 1993 Category: Customer Dispute Allegations: COMPLAINED THE INVESTMENT OF $10,000-INTOSCOTTSDALE LAND TRUST WAS INAPPROPRIATE IN JULY 1988.ALLEGATIONS OF MISREPRENTATION. Damage Amount Requested: $10,000.00 Damages Granted: $10,150.00 Broker Comment: THE ARBITRATOR HAS ASSESSED THE FORUM FEE ($150)AGAINST THE RESPONDENT, THEREFORE, RESPONDENT SHALL FORWARDDIRECTLY TO CLAIMANT THE SUM OF $10,150.00, REPRESENTING ANAWARD ON THE CLAIM OF $10,000. AND REIMBURSEMENT OF HERDEPOSIT, $150.00.
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