REGINALD LEON BOUCHER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 180 BATTERY ST STE 300, BURLINGTON, VT, 05401.
REGINALD LEON BOUCHER has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
REGINALD LEON BOUCHER has 3 Disclosure Event(s).
Date: October 19, 2015 Category: Customer Dispute Allegations: Client alleges investments were not suitable. (08/03/2015-10/19/2015) Settlement Amount: $5,000.00
Date: January 14, 2009 Category: Customer Dispute Allegations: ALLEGES FA DID NOT EXPLAIN TRANSACTION TO CLIENT. ALLEGES DAMAGES, UNSPECIFIED, BELIEVED TO EXCEED $5,000. (6/3/08)
Date: August 28, 1995 Category: Employment Separation After Allegations Firm Name: THE PRUDENTIAL INSURANCE COMPANY OF AMERICA Termination Type: Discharged Allegations: THAT I USED UNAUTHORIZED PLANNING MATERIALREGARDING ESTATE PLANNING.I HAVE REQUESTED A NASD REVIEW. Broker Comment: NASD INVESTIGATES COMPLAINTS AS THEY ARERECEIVED. I WAS INFORMED THAT IT WOULD TAKE SIX MONTHS BEFORENASD COULD GET TO MY CASE.AN INTERIM MANAGER AT PRUDENTIAL INSURANCE GAVEME VERBAL PERMISSION TO SEND A LETTER ON ESTATE PLANNING TOCLIENTS AND PROSPECTS. (THERE ARE TWO WITNESSES RECEPTIVE TOSIGNING SWORN STATEMENTS). THE NEW MANAGER, ACTING FOR THEREGIONAL MANAGER, FIRED ME FOR USING THAT LETTER. NO INSURANCEOR INVESTMENT OF ANY TYPE IS MENTIONED IN THE LETTER.
More Information
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.
To view the full report for REGINALD LEON BOUCHER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.