RONALD ANTONIO BOUCHER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 180 BATTERY ST STE 300, BURLINGTON, VT, 05401.
RONALD ANTONIO BOUCHER has worked at WELLS FARGO CLEARING SERVICES, LLC since May 30, 2012
Disclosure History
RONALD ANTONIO BOUCHER has 2 Disclosure Event(s).
Date: March 09, 2010 Category: Regulatory Initiated By: STATE OF VERMONT DEPARTMENT OF BANKING, INSURANCE, SECURITIES AND HEALTH CARE ADMINISTRATION Allegations: MR. BOUCHER CERTIFIED IN ERROR ON HIS RENEWAL APPLICATION THAT HE HAD SATISFIED THE CONTINUING EDUCATION REQUIREMENTS DUE TO HIS MISUNDERSTANDING OF THE CONTINUING EDUCATION REQUIREMENTS. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
Date: March 01, 2006 Category: Customer Dispute Allegations: MISREPRESENTATION REGARDING A PROPOSAL FOR A CHARITABLE TRUST,ALSO ALLEGING NEGLIGENCE, FRAUD, BREACH OF CONTRACT AND BREACH OF FIDUCIARY DUTY BEGINNING IN MAY 2001. Damage Amount Requested: $2,000,000.00 Settlement Amount: $700,000.00 Broker Comment: CLAIMANTS AGREED TO DISMISS WITH PREJUDICE THEIR CLAIMS AGAINST INDIVIDUAL. CGMI AGREED TO SETTLE THIS MATTER, AND IS THE ONLY RESPONDENT WHICH IS PARTY TO THE SETTLEMENT AGREEMENT. FA DID NOT CONTRIBUTE TO THE SETTLEMENT.
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 RONALD ANTONIO BOUCHER, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.