ROBERT DALE MATHEY 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 DALE MATHEY has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003
Disclosure History
ROBERT DALE MATHEY has 2 Disclosure Event(s).
Date: August 16, 1991 Category: Regulatory
Date: May 18, 1990 Category: Customer Dispute Allegations: UNAUTHORIZED TRANSACTIONS EXCESSIVE AND UNSUITABLE TRADING ACTUAL DAMAGES 400M PUNITIVE 500M Damage Amount Requested: $400,000.00 Settlement Amount: $237,500.00 Broker Comment: SETTLED BY PAYMENT OF $237,500 TO PLAINTIFF$185,000-KIDDER PEABODY $52,500 MATHEY 1 MONTH SUSPENSIONNot Provided
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