RICHARD JOSEPH VAUGHN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 189 MAIN ST, FALMOUTH, MA, 02540.
RICHARD JOSEPH VAUGHN has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
RICHARD JOSEPH VAUGHN has 2 Disclosure Event(s).
Date: December 15, 2003 Category: Employment Separation After Allegations Firm Name: MORGAN STANLEY DW, INC. Termination Type: Discharged Allegations: LOSS OF CONFIDENCE IN FINANCIAL ADVISOR AS A RESULT OF A CUSTOMER COMPLAINT SETTLED WITHOUT THE FINANCIAL ADVISOR'S INPUT OR PARTICIPATION. FINANCIAL ADVISOR DISAGREES WITH MORGAN STANLEY'S CONCLUSION. Broker Comment: COMPLAINT WAS SETTLED BEFORE ARBITRATION. BROKER DID NOT PARTICIPATE IN SETTLEMENT OR AGREE WITH COMPANIES CONCLUSIONS REGARDING COMPLAINT.
Date: September 30, 2002 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE, INTER ALIA, COMMON LAW AND STATUTORY SECURITIES VIOLATIONS IN CONNECTION WITH TRANSACTIONS FROM MARCH 2001 THROUGH MARCH 2002. Damage Amount Requested: $500,000.00 Settlement Amount: $500,000.00
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