ROLF PHILIP LARSON is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 201 MAIN ST, STE 1700, FORT WORTH, TX, 76102.
ROLF PHILIP LARSON has worked at WELLS FARGO CLEARING SERVICES, LLC since September 01, 2016
ROLF PHILIP LARSON has 5 Disclosure Event(s).
Date: November 07, 2003 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY AND UNSUITABILITY.TIME PERIOD: 9/00 - 12/02 Damage Amount Requested: $240,000.00 Settlement Amount: $150,000.00
Date: September 30, 2003 Category: Customer Dispute Allegations: THE CLIENT VERBALLY ALLEGED MISREPRESENTATION AND FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT DTO COMMODITY TRADES - 8/8/03 TO 9/5/03. Damage Amount Requested: $12,318.00 Settlement Amount: $10,558.76 Broker Comment: THE CLAIM WAS SETTLED FOR $10,558.76. FC IS NOT CONTRIBUTING TO THE SETTLEMENT.
Date: February 21, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THAT, DESPITE SPECIFIC REQUESTS FOR CONSERVATIVE INVESTMENT OPTIONS, IT APPEARS THE ACTIONS TAKEN HAVE PLACED A SIGNIFICANT PERCENTAGE OF HIS PORTFOLIO IN THE HIGH RISK/AGGRESSIVE CATEGORY. 1997-2002. ALLEGED DAMAGES UNSPECIFIED. Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
Date: January 22, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS WITH REGARD TO PURCHASING EQUITIES ON MARGIN. 1996 - 2000. ALLEGED DAMAGES UNSPECIFIED. Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
Date: July 11, 1991 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT 1,000 SHARE PURCHASE OFUNISYS STOCK WAS UNSUITABLE. CLIENT ALLEGES DAMAGES OF12,222.06. Damage Amount Requested: $8,551.00 Damages Granted: $4,145.69 Broker Comment: CHECK SENT TO CLIENT IN THE AMOUNT OF $4,710.00.PAID IN FULL BY PRUDENTIAL, I DID NOT PAY ANY PORTION OF THESETTLEMENT.Not Provided
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