ROBERT GORDON KATZ

ROBERT GORDON KATZ is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 200 MERIDIAN CTR, STES 110, 230 & 260, ROCHESTER, NY, 14618.

ROBERT GORDON KATZ has worked at WELLS FARGO CLEARING SERVICES, LLC since March 19, 2010

Disclosure History

ROBERT GORDON KATZ has 2 Disclosure Event(s).

Date: November 08, 1996
Category: Customer Dispute
Allegations: ALLEGED THAT FC DID NOT MAKE "CLASS A" SHARESAVAILABLE TO THEIR 401K PLAN.
Settlement Amount: $90,000.00
Broker Comment: SETTLEMENT AMOUNT WAS $90,000.00.RICK APICELLA 212-816-7200 I DENY ALL THEALLEGATIONS.

Date: May 27, 1993
Category: Customer Dispute
Allegations: UNSUITABLE SALE OF LIMITED PARTNERSHIP,ALLEGEDLY CAUSING $60,000.00 DAMAGES
Damage Amount Requested: $60,000.00 Damages Granted: $40,561.00
Broker Comment: AWARD OF $40,561.00 TO CLAIMANTTHE RESPONDENT IN THIS CASE WAS DEAN WITTER, MYFIRM AT THE TIME THE CLAIMANT MADE THE INVESTMENT. AT THEHEARING, COUNSEL FOR DEAN WITTER WAS ABLE TO CLEARLY ESTABLISHTHE FOLLOWING FACTS: 1) BROKER HAD NEVER RECEIVED A SINGLECUSTOMER COMPLAINT IN TEN YEARS IN THE INDUSTRY. 2) CLIENTRECEIVED A PROSPECTUS. 3) BROKER ALWAYS MADE IT A PRACTICE TODISCUSS ALL ISSUED PERTAINING TO PERTNERSHIPS WITH CLIENT SUCHAS TERM OF INVESTMENT, LACK OF LIQUIDITY, POTENTIAL RISKS, ANDPERFORMANCE OF PREVIOUS SIMILAR PARTNERSHIPS. 4) BROKERFOLLOWED THAT PRACTICE WITH MR. SA. 5) THE FIVE PREVIOUSNATIONAL LEASE INCOME PARTNERS HAD PERFORMED AS PROMISED MY AMENDED U-5 AS PROVIDED BY DEAN WITTER STATES: "THE AWARDWAS WITHOUT FACTUAL OR LEGAL BASIS... MR KATZ WAS GUILTY OF NOWRONGDOING."

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