ROBERT JAMES HOEFEL

ROBERT JAMES HOEFEL is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1500 BLACK LAKE BLVD. SW, OLYMPIA, WA, 98502.

ROBERT JAMES HOEFEL has worked at WELLS FARGO CLEARING SERVICES, LLC since January 03, 2011

Disclosure History

ROBERT JAMES HOEFEL has 3 Disclosure Event(s).

Date: November 17, 2008
Category: Customer Dispute
Allegations: CLIENT ALLEGES REGISTERED REPRESENTATIVE WAS INSTRUCTED TO LIQUIDATE ALL THE CLIENT'S MUTUAL FUNDS IN APRIL 2007 WHICH THE CLIENT CLAIMS THE REGISTERED REPRESENTATIVE DID NOT DO. THE FIRM HAS MADE A GOOD FAITH DETERMINATION THAT THE DAMAGES FROM THE ALLEGED CONDUCT ARE OVER $5,000.

Date: August 06, 2008
Category: Customer Dispute
Allegations: CLIENTS ALLEGE THE REGISTERED REPRESENTATIVE MISREPRESENTED THE BOND THEY PURCHASED IN DECEMBER 2006. THE FIRM MADE A GOOD FAITH DETERMINATION THAT THE DAMAGES FROM THE ALLEGED CONDUCT ARE OVER $5,000.

Date: September 22, 2000
Category: Customer Dispute
Allegations: CLIENT ALLEGE THE PURCHASE OF A MUNICIPAL BOND ON AUGUST 18,2000 WAS UNSUITABLE.
Damage Amount Requested: $5,000.00
Broker Comment: BASED UPON DOCUMENTATION AND INFORMATION PROVIDED BY THE CLIENT THE INVESTMENT APPEARS TO BE SUITABLE.

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.

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