MICHELLE FRANCES SHOCKLEY

MICHELLE FRANCES SHOCKLEY is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 7345 BUSTLETON AVE, PHILADELPHIA, PA, 19152.

MICHELLE FRANCES SHOCKLEY has worked at WELLS FARGO CLEARING SERVICES, LLC since July 12, 2011

Disclosure History

MICHELLE FRANCES SHOCKLEY has 1 Disclosure Event(s).

Date: September 14, 2016
Category: Customer Dispute
Allegations: Authorized third-party alleged an annuity contract was improperly solicited to the client. (8/26/2015)
Settlement Amount: $5,183.86
Broker Comment: Financial Advisor reviewed the features and drawbacks of the fixed indexed annuity and investor agreed to the stipulations of the contract. Client authorized the investment and signed all disclosure documents. This complaint was submitted by a third party not present during discussions with client.

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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