REBECCA ANN WEINBERGER

REBECCA ANN WEINBERGER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 2200 PASEO VERDE PKWY STE 390, HENDERSON, NV, 89052.

REBECCA ANN WEINBERGER has worked at WELLS FARGO CLEARING SERVICES, LLC since May 01, 2001

Disclosure History

REBECCA ANN WEINBERGER has 3 Disclosure Event(s).

Date: December 13, 2002
Category: Customer Dispute
Allegations: CUSTOMER ALLEGE UNAUTHORIZED, UNSUITABLE, AND EXCESSIVE TRADES FROM FEBRUARY 2000 TO FEBRUARY 2001.
Damage Amount Requested: $308,000.00
Settlement Amount: $120,000.00
Broker Comment: WITHOUT ANY ADMISSION, MORGAN STANLEY SETTLED THE MATTER TO AVOID THE COSTS AND UNCERTAINTIES OF LITIGATION.

Date: May 02, 2001
Category: Customer Dispute
Allegations: CUSTOMERS CONTEND INVESTMENT RECOMMENDATIONS WERE UNSUITABLE.
Damage Amount Requested: $25,000.00

Date: January 02, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION OF RISK IN CONNECTION WITH NORTHBROOK ANNUITY, WITH NO ALLEGATION OR INDICATION OF DATE ALLEGED MISREPRESENTATION.
Damage Amount Requested: $24,000.00
Broker Comment: THE CLAIM WAS DENIED AS WITHOUT MERIT.

More Information

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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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