SCOTT ALAN WICKMAN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1515 W 22ND ST STE 700, OAK BROOK, IL, 60523.
SCOTT ALAN WICKMAN has worked at WELLS FARGO CLEARING SERVICES, LLC since November 18, 2011
Date: May 01, 1994 Category: Customer Dispute Allegations: [FAMILY MEMBER] ALLEGED THAT THE PORTFOLIOMIX WAS INAPPROPRIATE FOR HIS ELDERLY FATHER, [CUSTOMER].DAMAGES WERE UNSPECIFIED. Settlement Amount: $29,071.52 Broker Comment: ALTHOUGH [CUSTOMER], A CLIENT FOR 10 YEARS,NEVER VOICED CONCERN OVER HIS INVESTMENTS, HIS SON [FAMILY MEMBER],WHO RECEIVED DUPLICATE STATEMENTS AND CONFIRMATIONS, QUESTIONEDIN MAY, 1994 THE INVESTMENTS HIS FATHER MADE SOME 6 TO 9 MONTHSPRIOR. SETTLED FOR $28,071.52.ALTHOUGH MR. WICKMAN FOLLOWED THE FIRM'SRECOMMENDED ASSET ALLOCATION AND [CUSTOMER] UNDERSTOODAND AUTHORIZED EACH TRADE, WE BELIEVE [FAMILY MEMBER] WASDISAPPOINTED WITH THE ACCOUNT'S PERFORMANCE. THE FIRM SETTLEDTHIS MATTER TO AVOID THE COSTS AND UNCERTAINITIES OFLITIGATION.
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