MICHAEL MAURICE BUSIER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1000 LOUISIANA ST 2ND, 3RD & 7TH FLS, [TD-RBO], HOUSTON, TX, 77002.
MICHAEL MAURICE BUSIER has worked at WELLS FARGO CLEARING SERVICES, LLC since March 04, 2011
Disclosure History
MICHAEL MAURICE BUSIER has 2 Disclosure Event(s).
Date: September 28, 2004 Category: Customer Dispute Allegations: CLIENT'S ATTORNEY ALLEGED INVESTMENTS WERE UNSUITABLE - MARCH 1997 THROUGH MARCH 2004.DAMAGES UNSPECIFIED. Damage Amount Requested: $45,000.00 Broker Comment: WE SETTLED THIS TO AVOID TIME AND EXPENSE OF PROTRACTED LITIGATION.
Date: July 25, 1990 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING Damage Amount Requested: $4,000.00 Damages Granted: $4,000.00 Broker Comment: THIS MATTER INVOLVED MR. OVERLEASE; SHEARSONPAID $4,000.00 CONTACT: WILLIAM HOHAUSER #212-816-7294I HAD NOTHING TO DO WITH THE PROCEEDINGS. MYNAME WAS INCLUDED BY ERROR. I INHERITED THE ACCOUNT, CONTACTEDTHE CLIENT WHO COMPLAINED ABOUT PART TRANSACTIONS. I REFERREDTHE SITUATION TO MY MANAGER AFTER THE FIRST MEETING WITHCLIENT. I NEVER RECEIVED ANY REQUEST TO APPEAR IN FRONT OF ANARBITRATION PANEL. THIS IS A CLERICAL ERROR.
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