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
Disclosure History
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.
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