ROSE BARBARA YUSTER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 515 N FLAGLER DR STE 1200, WEST PALM BEACH, FL, 33401.
ROSE BARBARA YUSTER has worked at WELLS FARGO CLEARING SERVICES, LLC since May 02, 2008
Disclosure History
ROSE BARBARA YUSTER has 16 Disclosure Event(s).
Date: July 29, 2016 Category: Financial Type: Compromise Disposition: Direct Payment Procedure Broker Comment: This settlement is due to identity theft
Date: July 12, 2016 Category: Financial Type: Compromise Disposition: Direct Payment Procedure Broker Comment: THIS SETTLEMENT WAS DUE TO IDENTITY THEFT.
Date: February 26, 2016 Category: Financial Type: Compromise Disposition: monthy payments until 2-26-17 Broker Comment: The debit was caused by identity theft
Date: January 13, 2016 Category: Customer Dispute Allegations: TIME FRAME: UNSPECIFIED CLAIMANTS VAGUELY ALLEGE MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE SALE OF AN ANNUITY. Damage Amount Requested: $150,000.00 Broker Comment: At the time client purchased the annuity from partner and myself at UBS, they were told that they should not withdraw money from the annuity (it appeared in the contract) otherwise it would lowered the current value of the annuity. Over ten years ago I severed my partnership and the clients went with my former partner to a different firm and I went to Wells Fargo Advisors. When I learned of this client complaint I reached out to the insurance company and they told me my name was not listed on the annuity as the agent. NO ACTION. NO SETTLEMENT. CASE CLOSED.
Date: October 07, 2015 Category: Financial Type: Compromise Broker Comment: THIS COMPROMISE AGREEMENT WAS MADE AS A RESULT OF IDENTITY THEFT.
Date: September 03, 2014 Category: Financial Type: Compromise Broker Comment: COMPROMISE DUE TO IDENTITY THEFT(CLOSED ALL CREDIT CARD ACCOUNTS).
Date: July 11, 2014 Category: Financial Type: Compromise Disposition: SETTLED Broker Comment: COMPROMISE DUE TO IDENTITY THEFT( CLOSED ALL MY CREDIT CARD ACCOUNTS)
Date: June 04, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: COMPROMISE DUE TO IDENTITY THEFT (CLOSED ALL CREDIT CARD ACCOUNTS
Date: May 14, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: COMPROMISE DUE TO IDENTITY THEFT(CLOSED ALL CREDIT CARD ACCOUNTS)
Date: March 02, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: COMPROMISE DUE TO IDENTITY THEFT(CLOSED ALL CREDIT CARD ACCOUNTS)
Date: January 13, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: COMPROMISE DUE TO IDENTITY THEFT(CLOSED ALL CREDIT CARD ACCOUNTS)
Date: January 13, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: COMPROMISE DUE TO IDENTITY THEFT (CLOSED ALL CREDIT CARD ACOUNTS)
Date: April 05, 2010 Category: Customer Dispute Allegations: TIME FRAME: NOVEMBER 2007 CLAIMANT ALLEGES LEH 100% PPN WERE MISREPRESENTED AS A COMPLETELY PROTECTED INVESTMENT Damage Amount Requested: $100,000.00 Settlement Amount: $48,000.00 Broker Comment: UBS BROKERAGE WAS THE ONLY PARTY NAMED IN THE ARBITRATION. I WAS NOT PERSONALLY NAMED IN THE ARBITRATION, NOR WAS I ASKED TO CONTRIBUTE TO THE SETTLEMENT. THE CLIENT IS STILL MY CLIENT TODAY
Date: December 17, 2007 Category: Customer Dispute Allegations: CLIENT VERBALLY ALLEGED THAT HE WAS UNAWARE OF SURRENDER CHARGES APPLICABLE TO WITHDRAWALS TAKEN FROM HIS ANNUITIES. CLIENT REQUESTED REIMBURSEMENT FOR ANNUITY FEES. ALLEGED DAMAGES ESTIMATED TO BE GREATER THEN $5000.00 Damage Amount Requested: $5,000.00 Settlement Amount: $12,305.57 Broker Comment: UBS BROKERAGE WAS THE ONLY PARTY NAMED IN THE COMPLAINT. I WAS NOT PERSONALLY NAMED IN THE COMPLAINT, NOR WAS I ASKED TO CONTRIBUTE TO THE SETTLEMENT. THE CLIENT IS STILL MY CLIENT TODAY
Date: April 29, 2002 Category: Customer Dispute Allegations: CUSTOMER CLAIMS THAT SHE "HAD AGREED TO TAKE SOME SPECULATIVE RISKS, BUT NOT TO GET INVOLVED WITH TOTALLY INAPPROPRIATE INVESTMENTS COMPRISING THE ENTIRETY OF [HER] ACCOUNT." TIME PERIOD: JANUARY 2000 - PRESENT. Damage Amount Requested: $150,000.00
Date: March 09, 1999 Category: Customer Dispute Allegations: CLAIMANT ALLEGED CHURNING OF STOCKS IN 1994.CLAIMED DAMAGES OF $10,000. COMPLAINT RECEIVED BY MERRILLLYNCH. Damage Amount Requested: $10,000.00 Broker Comment: CLAIM DENIEDTHE TRANSACTION IN QUESTION OCCURRED IN 1994. THECLIENT DID NOT COMPLAIN UNTIL FIVE YEARS LATER. I VIGOROUSLYDENY ANY ALLEGATONS OF WRONGDOING. THE CLIENT DETERMINED WHICHSECURITIES WERE SOLD AND WHEN IN ORDER TO BUY SECURITIESRECOMMENDED BY MERRILL LYNCH. THE CUSTOMER WAS A KNOWLEDGEABLEAND EXPERIENCED INVESTOR, WHO MADE THE INVESTMENT DECISIONS FORHER ACCOUNT
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.
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