STUART ADAM COHEN

STUART ADAM COHEN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 11730 W CHARLESTON BLVD, LAS VEGAS, NV, 89135.

STUART ADAM COHEN has worked at WELLS FARGO CLEARING SERVICES, LLC since May 31, 2016

Disclosure History

STUART ADAM COHEN has 5 Disclosure Event(s).

Date: November 11, 2014
Category: Financial
Type: Compromise
Disposition: SETTLED

Date: October 23, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: July 02, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: July 02, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 19, 1997
Category: Criminal
Charges: OBTAINING PROPERTY IN RETURN FOR WORTHLESS CHECK
Disposition: NOLO CONTENDRE

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.

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