ROGER BRUCE RILEY is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 9311 SAN PEDRO AVE, STE 1200, SAN ANTONIO, TX, 78216.
ROGER BRUCE RILEY has worked at WELLS FARGO CLEARING SERVICES, LLC since June 05, 2014
Disclosure History
ROGER BRUCE RILEY has 2 Disclosure Event(s).
Date: April 13, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT AS RESULT OF INACCURATE INFORMATION GIVEN TO HER, SHE IS BEING DEPRIVED OF RECEIVING THE DEATH BENEFIT FROM HER HUSBAND'S ANNUITY. THE TIME FRAME IS MARCH 2009 THROUGH APRIL 2009. Damage Amount Requested: $52,469.27
Date: January 01, 1988 Category: Customer Dispute Allegations: CLAIMANT ALLEGED THAT HE WAS ADVISED TO SELLSHORT 300 SHARES OF APPLE COMPUTER STOCK RESULTING IN $1,926.10IN LOSSES. CLIENT CONTENDED THAT THE STOCK WAS ONPAINEWEBBER'S "BUY" LIST, WHICH WOULD HAVE INFLUENCED HISDECISION. Damage Amount Requested: $1,926.00 Damages Granted: $2,094.00 Broker Comment: AN AWARD IN THE AMOUNT OF $2,094.42 WAS RENDEREDAGAINST RESPONDENTS. MR. RILEY WAS NOT MADE TO CONTRIBUTE TOTHE AWARD.Not Provided
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 ROGER BRUCE RILEY, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.