RAYMOND ZUHOWSKI

RAYMOND ZUHOWSKI is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 730 JAMAICA BOULEVARD, TOMS RIVER, NJ, 08757.

RAYMOND ZUHOWSKI has worked at WELLS FARGO CLEARING SERVICES, LLC since October 01, 2000

Disclosure History

RAYMOND ZUHOWSKI has 2 Disclosure Event(s).

Date: January 25, 2010
Category: Customer Dispute
Allegations: CLIENT ALLEGED SHE WAS RECOMMENDED UNSUITABLE MUTUAL FUNDS. DAMAGES UNSPECIFIED BUT BELIEVED TO EXCEED $5,000. (6/19/2007)
Broker Comment: FA GATHERED SUITABILITY INFORMATION FROM CLIENT. CLIENT STATED AND SIGNED THAT HER TIMEFRAME WAS 5-10 YEARS AND HAD A GROWTH AND INCOME OBJECTIVE. FA RECOMMENDED SECURITY WITH 5-10 YEAR TIMEFRAME AND GROWTH & INCOME OBJECTIVE. FA AND FIRM DENY ALL ALLEGATIONS.

Date: November 01, 2002
Category: Customer Dispute
Allegations: FLORIDA RESIDENT ALLEGES BROKER ASSURED HIM HIS FOUR PREFERRED STOCKS BOUGHT ON 5/29/01 WOULD TRADE IN RANGE OF PURCHASE PRICE BUT ONE OF THEM DID NOT. HE SEEKS $12,000 AS REIMBURSEMENT OF HIS LOSSES.
Damage Amount Requested: $12,000.00
Broker Comment: IN A LETTER DATED JANUARY 6, 2003, THE FIRM DENIED THE CLIENT'S ALLEGATIONS.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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