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."
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 GORDON KATZ, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.