STEVEN LYLE WETZEL is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 2501 20TH PL S STE 350, BIRMINGHAM, AL, 35223.
STEVEN LYLE WETZEL has worked at WELLS FARGO CLEARING SERVICES, LLC since April 04, 2008
Disclosure History
STEVEN LYLE WETZEL has 8 Disclosure Event(s).
Date: September 07, 2011 Category: Financial Type: Bankruptcy Disposition: Discharged
Date: November 16, 2010 Category: Customer Dispute Allegations: WRITTEN COMPLAINT ALLEGES MISREPRESENTATION WITH REGARD TO A VARIABLE ANNUITY CONTRACT PURCHASED IN AUGUST OF 2007. ALLEGATION FURTHER STATE THE ORIGINAL CONTRACT WAS NEVER DELIVERED BY THE FA, NOR WAS THE CLIENT PROVIDED WITH THE RIGHT TO EXAMINE THE CONTRACT OR THE FREE-LOOK PERIOD. THE TRUSTEE FURTHER STATES MUTUAL FUND RECOMMENDATIONS VIOLATED THE FINANCIAL INTEGRITY OF THE TRUST.
Date: November 15, 2010 Category: Customer Dispute Allegations: CLAIM ALLEGES UNSUITABILITY WITH REGARD TO MUTUAL FUNDS PURCHASED IN 2005 AND 2006 Settlement Amount: $50,000.00
Date: July 06, 2010 Category: Customer Dispute Allegations: CLAIM ALLEGES UNSUITABILITY WITH REGARD TO MUTUAL FUNDS PURCHASED BETWEEN 2002 AND 2007.
Date: June 07, 2010 Category: Customer Dispute Allegations: CLAIM ALLEGES UNSUITABLILITY OF MUTUAL FUNDS PURCHASED BETWEEN 2003 AND 2006 Damage Amount Requested: $221,250.00 Settlement Amount: $20,600.00
Date: February 16, 2010 Category: Customer Dispute Allegations: FOLLOWS: CLAIM ALLEGES MISREPRESENTATION AND UNSUITABILITY WITH REGARD TO REGIONS MORGAN KEEGAN MUTUAL FUNDS PURCHASED BETWEEN 2000 AND 2007 Damage Amount Requested: $1,123,515.68 Settlement Amount: $10,072.00
Date: January 25, 2010 Category: Customer Dispute Allegations: CLAIM ALLEGES MISREPRESENTATION WITH REGARD TO MUTUAL FUNDS PURCHASED BETWEEN 2003 AND 2006 Damage Amount Requested: $130,000.00 Settlement Amount: $5,000.00
Date: June 08, 2009 Category: Customer Dispute Allegations: CLAIM ALLEGES UNSUITABILITY, MISREPRESENTATION AND FAILURE TO SUPERVISE. Damage Amount Requested: $177,000.00 Settlement Amount: $29,950.00
More Information
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