MICHAEL DAVID GARRIS is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1999 AVENUE OF THE STARS, STE 2200, LOS ANGELES, CA, 90067.
MICHAEL DAVID GARRIS has worked at WELLS FARGO CLEARING SERVICES, LLC since May 11, 2011
Disclosure History
MICHAEL DAVID GARRIS has 2 Disclosure Event(s).
Date: October 22, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED "DECEPTION" ON THE PART OF THE FC. 2001 - 2002. ALLEGED DAMAGES UNSPECIFIED. Broker Comment: "OPENING DRP FILED SIGNATURE DEFICIENT".CLAIM DENIED.
Date: September 11, 2001 Category: Customer Dispute Allegations: THE CLIENT ALLEGED UNSUITABILITY AND UNAUTHORIZED TRADING. THE CLIENT ALSO ALLEGED THAT SHE WAS MISLED AND THAT THERE IS A HIGH NUMBER OF TRANSACTIONS COMPARED TO THE VALUE OF THE ACCOUNTS. MAY 2000 THROUGH SEPTEMBER 2001. ALLEGED DAMAGES UNSPECIFIED. Broker Comment: THE CLIENT HAS NOT PURSUED HER CLAIM.
More Information
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