ROBERT JAMES TRACY is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 331 NEWMAN SPRINGS RD BLDG 2, 3RD FLOOR, RED BANK, NJ, 07701.
ROBERT JAMES TRACY has worked at WELLS FARGO CLEARING SERVICES, LLC since February 19, 2013
Disclosure History
ROBERT JAMES TRACY has 1 Disclosure Event(s).
Date: October 15, 1999 Category: Customer Dispute Allegations: IT IS ALLEGED THAT BETWEEN 1992 AND 1995, MR. TRACY, USED "IMPROPER METHODS" IN RECOMMENDING AND SELLING TO [CUSTOMER'S] APPROXIMATWLY $51,000 OF BENNETT FUNDING GROUP INVESTMENTS. NO ALLEGED DAMAGES ARE SPECIFIED. Settlement Amount: $10,000.00 Broker Comment: THIS CLAIM IS PART OF A MASS ACTION ARBITRATION WITH MORE THAN 70 CLAIMANTS AND 80 RESPONDENTS AT VARIOUS BROCKERAGE FIRMS. THE ALLEGED COMPENSATORY DAMAGES ARE UNSPECIFIED.
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