RAYMOND JOSEPH HAYES

RAYMOND JOSEPH HAYES is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 150 E 42ND ST 41ST & 42ND FLS, [Y2-RBO], NEW YORK, NY, 10017.

RAYMOND JOSEPH HAYES has worked at WELLS FARGO CLEARING SERVICES, LLC since June 07, 2010

Disclosure History

RAYMOND JOSEPH HAYES has 1 Disclosure Event(s).

Date: August 25, 2009
Category: Customer Dispute
Allegations: CUSTOMER CLAIMED T-BILLS WERE SOLD AND MME WAS PURCHASED WITHOUT HIS AUTHORIZATION IN FEBRUARY / MARCH 2004.
Damage Amount Requested: $45,926.00

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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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