SAM LUBY is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 333-355 SE 2ND AVE, STE 2550, 25TH FL, MIAMI, FL, 33131.
SAM LUBY has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003
Disclosure History
SAM LUBY has 2 Disclosure Event(s).
Date: May 16, 2005 Category: Customer Dispute Allegations: FLORIDA RESIDENTS WRITES THAT SECURITIES WERE BOUGHT AND SOLD MANY TIMES IN THEIR ACCOUNT IN RECENT MONTHS AND DO NOT RECALL SIGNING ANY PAPERS GIVING FA AUTHORITY TO BUY AND SELL. COMMISSIONS PAID TOTAL OVER $5000. Damage Amount Requested: $6,450.00 Settlement Amount: $7,300.00 Broker Comment: AS A BUSINESS DECISION AND WITHOUT ADMITTING ANY LIABILITY ON THE PART OF THE FIRM, THE MATTER WAS SETTLED FOR $7,300.00.
Date: January 15, 2002 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT INVESTMENT WAS MISREPRESENTED AND NOT BIN LINEWITH THEIR PORTFOLIO. TIME PERIOD: 3/99 TO PRESENT. Damage Amount Requested: $25,000.00 Settlement Amount: $9,999.00
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