ROBERT BRADLEY FULLER

ROBERT BRADLEY FULLER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 225 S. LAKE AVE, STE 700, PASADENA, CA, 91101.

ROBERT BRADLEY FULLER has worked at WELLS FARGO CLEARING SERVICES, LLC since September 04, 1990

Disclosure History

ROBERT BRADLEY FULLER has 3 Disclosure Event(s).

Date: April 02, 2001
Category: Customer Dispute
Allegations: CLIENTS ALLEGE THAT THEIR MUTUAL FUNDS WERE SOLD WITHOUT THEIR PERMISSION TO BUY ICG COMMUNICATIONS. THEY CLAIM THAT THEIR INTENT WAS TO BUY ICG COMMUNICATIONS WITH ONLY THE CASH AVAILABLE IN THEIR ACCOUNTS.
Damage Amount Requested: $41,400.00
Broker Comment: THE FIRM REVIEWED THE CUSTOMERS' COMPLAINT AND FOUND NO EVIDENCE TO SUPPORT THE ALLEGATIONS. THE DEMAND FOR RESTITUTION WAS DENIED IN ITS ENTIRETY.

Date: October 01, 1993
Category: Regulatory

Date: January 10, 1992
Category: Regulatory

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 ROBERT BRADLEY FULLER, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.