MICHAEL NICHOLAS MERLO

MICHAEL NICHOLAS MERLO is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 600 S AVE 2ND FL, WESTFIELD, NJ, 07090.

MICHAEL NICHOLAS MERLO has worked at WELLS FARGO CLEARING SERVICES, LLC since October 01, 1999

Disclosure History

MICHAEL NICHOLAS MERLO has 1 Disclosure Event(s).

Date: January 31, 2003
Category: Customer Dispute
Allegations: ATTORNEY FOR NJ CLIENTS CLAIM ALLEGHENY ENERGY STOCK BOUGHT 12/4/01 IN CLIENTS' RESPECTIVE IRAS WERE UNSUITABLE. CLAIMS PURCHASE IN WIFE'S ACCOUNT WAS DONE WITHOUT HER AUTHORIZATION.
Damage Amount Requested: $10,985.48
Broker Comment: CLAIM DENIED.

More Information

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.

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