STEVEN CRAIG BEHRLE

STEVEN CRAIG BEHRLE is currently employed as a Broker and/or Investment Adviser at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located at 100 SPECTRUM CENTER DR, STE 900, IRVINE, CA, 92618.

STEVEN CRAIG BEHRLE has worked at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC since May 11, 2007

Disclosure History

STEVEN CRAIG BEHRLE has 2 Disclosure Event(s).

Date: November 08, 2001
Category: Customer Dispute
Allegations: UNAUTHORIZED TRADES IN THE PURCHASE OF AN ANNUITY.

Date: February 02, 1989
Category: Customer Dispute
Allegations: MISREPRESENTED INVESTMENT & SUITABILITY
Settlement Amount: $17,000.00
Broker Comment: 17000K PAID TO CLIENT EXCLUSIVELY PAID BY PAINEWEBBERI WENT TO ARBITRATION WAS A IP FROM PWDELAURNMENTS STOCK WENT TO 0 WAS SUPPOSED TO PAY 10% WITH TAXINCENTIVES. THIS WAS NOT THE CASE. WE WENT TO ARBITRATION PWWAS RESPONSIBLE FOR APPROX $3000 PLUS NASD FEES OF 1000 ANDR.W. I WERE JOINTLY & SECURITY LIABLE

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 STEVEN CRAIG BEHRLE, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.