SAMUEL JOHN CANNON is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 50 MAIN ST 2ND FL, FLEMINGTON, NJ, 08822.
SAMUEL JOHN CANNON has worked at WELLS FARGO CLEARING SERVICES, LLC since January 05, 2009
Disclosure History
SAMUEL JOHN CANNON has 2 Disclosure Event(s).
Date: January 19, 2018 Category: Customer Dispute Allegations: Claimants allege that from 2013 through 2017, FA made unsuitable investments in Puerto Rico bonds. Broker Comment: I inherited this account relationship from their retiring Financial Advisor. I did not purchase any Puerto Rico bonds for the client. Through multiple discussions with this client, they never chose to sell these bonds through the time they moved their account in June 2016.
Date: February 02, 2016 Category: Customer Dispute Allegations: Client alleges FA failed to inform her of the loss when the unit investment trust reached maturity.
More Information
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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