MATTHEW DARREN WATERS is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 9101 ROOSEVELT BOULEVARD, STE 25, PHILADELPHIA, PA, 19114.
MATTHEW DARREN WATERS has worked at WELLS FARGO CLEARING SERVICES, LLC since November 18, 2003
Disclosure History
MATTHEW DARREN WATERS has 1 Disclosure Event(s).
Date: October 19, 2009 Category: Customer Dispute Allegations: CLAIMANTS, RESIDENTS OF PENNSYLVANIA, ALLEGE FA RECOMMENDED A VARIABLE ANNUITY WITH SUB-ACCOUNTS, BUT DID NOT EXPLAIN THE RISK INVOLVED. CLAIMANTS ALLEGE DUE TO THE UNSUITABLE INVESTMENTS MADE BY FA, THEY REALIZED AN OUT-OF-POCKET LOSS IN THE AMOUNT OF $9,500. (DECEMBER 2006 - JANUARY 2009) Damage Amount Requested: $9,500.00 Settlement Amount: $5,350.00 Broker Comment: THE PARTIES SETTLED THIS MATTER FOR $4,750.00 PLUS REIMBURSEMENT OF THE FILING FEE.***FA'S RESPONSE: I FULLY DISCLOSED ALL RISKS INVOLVED WITH THE INVESTMENTS, THEREFORE, I DENY ANY ALLEGATIONS OF WRONG DOING.
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