MICHAEL G KISSINGER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 809 CUESTA DRIVE, STE D, MOUNTAIN VIEW, CA, 94040.
MICHAEL G KISSINGER has worked at WELLS FARGO CLEARING SERVICES, LLC since November 29, 2011
MICHAEL G KISSINGER has 4 Disclosure Event(s).
Date: June 25, 2013 Category: Customer Dispute Allegations: CLIENT CLAIMS INVESTMENTS IN HIS ACCOUNT ARE UNSUITABLE. (1/16/2013)
Date: April 13, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGES FAILURE TO DISCLOSE FEES REGARDING MUTUAL FUND INVESTMENT. ACTIVITY DATES 12/24/2008-12/24/2008. Damage Amount Requested: $5,254.55
Date: September 24, 2010 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES THE INVESTMENT STRATEGY ON WHICH HE AND THE REPRESENTATIVE AGREED WAS NOT FOLLOWED. Damage Amount Requested: $14,422.87
Date: November 07, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES REGISTERED REPRESENTATIVE MISREPRESENTED THE AUCTION RATE SECURITIES PURCHASED IN MAY, 2007. Settlement Amount: $250,000.00 Broker Comment: ON SEPTEMBER 12, 2008, WAMU INVESTMENTS AGREED TO A SETTLEMENT IN PRINCIPLE WITH THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) WHICH PROVIDED, AMONG OTHER THINGS, THAT THE FIRM WOULD BUY BACK AT PAR CERTAIN AUCTION RATE SECURITIES. AS PART OF THIS SETTLEMENT, WAMU INVESTMENTS, INC., PURCHASED BACK FROM THE CLIENT, PIMCO CALIFORNIA MUNCIPAL INCOME FD. II AUCTION ARS POSITION AT PAR.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for MICHAEL G KISSINGER, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More