NICHOLAS CHARLES MAFFEO is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 74760 HIGHWAY 111, STE 100, INDIAN WELLS, CA, 92210.
NICHOLAS CHARLES MAFFEO has worked at WELLS FARGO CLEARING SERVICES, LLC since November 02, 2001
Disclosure History
NICHOLAS CHARLES MAFFEO has 3 Disclosure Event(s).
Date: February 01, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES HE RECEIVED BAD ADVICE WITH RESPECT TO HIS PURCHASE OF IMMUNE RESPONSE STOCK. ALLEGED DAMAGES ARE IN EXCESS OF $5,000.00. Damage Amount Requested: $8,668.00 Broker Comment: THIS MATTER IS CLOSED
Date: November 14, 2001 Category: Customer Dispute Allegations: ALLEGES THAT THE INVESTMENTS IN HIS ACCOUNT WERE UNSUITABLE. Damage Amount Requested: $15,000.00 Broker Comment: THIS MATTER ARISES OUT OF TRANSACTIONS UNDERTAKEN AT A PRIOR OR PREVIOUS FIRM. WELLS FARGO ADVISORS HAS NO RECORDS OR INFORMATION RELATING TO THE ISSUES REPRESENTED IN THIS REPORT. THE MATTER IS CONSIDERED CLOSED.
Date: November 15, 1991 Category: Customer Dispute Allegations: UNSUITABILITY, FAILURE TO DISCLOSE RISK, ANDFAILURE TO SUPERVISE. ALLEGED DAMAGES OF $29,076.61 Damage Amount Requested: $29,076.61 Settlement Amount: $19,500.00 Broker Comment: SETTLEMENT - $19,500 (*CUSTOMER TO RETURN TOSHEARSON CERTAIN LIMITED PARTNERSHIP INTEREST ORIGINALLYPURCHASED FOR $15,000) NICHOLAS MAFFEO DID NOT CONTRIBUTETOWARD THE SETTLEMENT.Not Provided
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