RICHARD MARION BLOSSER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 10877 WILSHIRE BLVD, STE 1700, LOS ANGELES, CA, 90024.
RICHARD MARION BLOSSER has worked at WELLS FARGO CLEARING SERVICES, LLC since November 27, 2015
Disclosure History
RICHARD MARION BLOSSER has 2 Disclosure Event(s).
Date: February 03, 2015 Category: Customer Dispute Allegations: THE CLIENT ALLEGES A FAILURE TO FOLLOW INSTRUCTIONS. TIME FRAME: JANUARY 3, 2011 TO JANUARY 23, 2015. Settlement Amount: $16,555.25 Broker Comment: BY EMAIL DATED MARCH 4, 2015, THE CLIENT STATES THAT HE "FEELS REALLY BAD ABOUT THE THINGS I SAID IN THERE", REFERRING TO THE COMPLAINT EMAIL THE CLIENT SENT ON JANUARY 23, 2015. CLIENT FURTHER STATES THAT HIS "MIND WAS CLOUDY" AND HE REACTED IN A WAY THAT WAS "WAY OUT OF CHARACTER." HE STATES, " I WANT TO APOLOGIZE TO YOU FOR THE TONE OF THE LETTER AND ASK YOU TO FORGIVE/FORGET SOME OF THE THINGS I SAID IN THE EMAIL. I HAVE A 19 YEAR RELATIONSHIP WITH YOU? AND THIS IS NOT THE WAY I WOULD WANT TO COMMUNICATE WITH YOU, EVER. MY RELATIONSHIP IS WITH YOU AND NOT THE BANK AND YOU HAVE BEEN GOOD TO ME OVER THE YEARS. ADDITIONALLY, I REALLY APPRECIATE WHAT YOU DID TO RECTIFY THE SITUATION AND YOUR DESIRE TO ADDRESS MY SITUATION SAYS A LOT ABOUT YOUR CHARACTER. I REALIZED THIS AFTER THE FACT BUT HOPE YOU CAN FORGET MY EMAIL EVER HAPPENED. IT IS MY INTENTION TO STAY WITH YOU FOR MANY YEARS TO COME AND HOPEFULLY AS MY EXISTING COMPANY PROSPERS, I PLAN TO PUT IT IN YOUR CAPABLE HANDS."
Date: January 11, 2005 Category: Customer Dispute Allegations: COMPLAINT ALLEGES, INTER ALIA, THAT BROKER BREACHED FIDUCIARY DUTY BY ALLOWING CUSTOMER TO PLACE SHORT SALE TRADES IN JUNE 2004. ALLEGED COMPENSATORY DAMAGE AMOUNT: NOT STATED BUT BELIEVED TO EXCEED $5,000.
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