NANCY S GREEN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 396 ALHAMBRA CIR, 7TH & 8TH FLS, CORAL GABLES, FL, 33134.
NANCY S GREEN has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
NANCY S GREEN has 1 Disclosure Event(s).
Date: October 03, 2003 Category: Customer Dispute Allegations: ALLEGES FAILURE TO FOLLOW INSTRUCTIONS AND PURCHASED BONDS OUTSIDE THE MATURITY RANGE REQUESTED BY THE CLIENT. Damage Amount Requested: $22,000.00 Settlement Amount: $22,000.00 Broker Comment: THE CLIENT MET WITH THE SOUTHEAST BOND DEPARTMENT IN APRIL PRIOR TO MOVING HIS ACCOUNT TO OUR OFFICE. A PROPOSAL WAS MADE ON APRIL 22 WHICH INCLUDED A 7% EXPOSURE TO BONDS MATURING IN THE 15-20 YEAR AREA. WHEN THE PORTFOLIO WAS ASSEMBLED WITH ASSISTANCE FROM THE BOND DEPARTMENT, THE EXPOSURE WAS AT 13%. A G. EDWARDS MADE A BUSINESS DECISION IN THE INTEREST OF RETAINING THIS ACCOUNT, TO CANCEL THE LONGEST BONDS AND COSIDER THE LOSS A BUSINESS DECISION IN INTEREST OF RETAINING FURTHER BUSINESS.
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