ROHIT DHAWAN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1950 UNIVERSITY AVE STE 300, UNIVERSITY CIRCLE, EAST PALO ALTO, CA, 94303.
ROHIT DHAWAN has worked at WELLS FARGO CLEARING SERVICES, LLC since September 27, 2012
Disclosure History
ROHIT DHAWAN has 2 Disclosure Event(s).
Date: November 07, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES FA MISREPRESENTED SAFETY AND RISK OF SECURITIES - 2007-2008. DAMAGES UNSPECIFIED. Settlement Amount: $14,500.00
Date: September 02, 1998 Category: Criminal Charges: COUNT 1&3-ASSAULT PC 245(A)(1)-FELONY COUNT2&4-BATTERY PC 243(D)-FELONY Charge Type: FELONY Disposition: PLEAD NO CONTEST TO PC 242-A MISDEMEANOR. ALLOTHER CHARGES DISMISSED. FINE OF $370.00/40 HOURS OF COMMUNITYSERVICE IMPOSED/10 MONTHS PROBATION Broker Comment: ON THE NIGHT OF AUGUST 23, 1998, IN THE COUNTY OFSAN LUIS OBISPO, MY FRIENDS AND I WERE INVOLVED IN A VERBALCONFRONTATION WITH ANOTHER GROUP OF PEOPLE WHO BEGAN THEARGUMENT BY USING RACIAL SLURS AND THREATS OF VIOLENCE UPON US. AFTER TRYING TO WALK AWAY FROM THE SITUATION, MY FRIEND AND IWERE PHYSICALLY ATTACKED BY A MEMBER OF THE OTHER GROUP,THEREFORE, MY FRIEND AND I WERE FORCED TO DEFEND OURSELVES. INTHE INCIDENT, THE OTHER PARTY WAS INJURED AND WAS CLAIMINGEXCESSIVE VIOLENCE.
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