TERRY BRENT DOLLEY is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 2025 E BELTLINE SE STE 501, GRAND RAPIDS, MI, 49546.
TERRY BRENT DOLLEY has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003
TERRY BRENT DOLLEY has 3 Disclosure Event(s).
Date: February 17, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS. (09/01/2008 - 11/19/2008)***ARBITRATION ALLEGATIONS: CLAIMANTS, RESIDENTS OF MICHIGAN ALLEGE BREACH OF FIDUCIARY DUTY, FAILURE TO FOLLOW INSTRUCTIONS AND NEGLIGENCE AGAINST FA FOR FAILURE TO FOLLOW INSTRUCTIONS TO EXECUTE A STOP LOSS ON INVESTMENTS IN THEIR ACCOUNTS IN SEPTEMBER OF 2008. CLAIMANTS SEEK COMPENSATORY DAMAGE OF $71,314 PLUS PUNITIVE RELIEF OF $25,000. Damage Amount Requested: $71,314.00 Settlement Amount: $33,750.00 09-04584
Date: February 28, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGES CERTAIN ACTIONS CREATEDADDITIONAL TAX COST AS WELL AS THAT SOME "INVESTMENTS WEREINAPPROPRIATE GIVEN THE RISK TOLERANCE". CLIENT ALLEGES LOSS OF$11,700.00 Damage Amount Requested: $11,700.00 Broker Comment: THE CLAIM WAS DENIEDTHE CLIENT'S ALLEGATIONS ARE COMPLETELY UNTRUE. INEVER BOUGHT AN ITEM FOR THE CUSTOMER WITHOUT FULLY DISCUSSINGTHE PRODUCT AND HOW IT MET HER OBJECTIVES. THE CUSTOMER ALWAYSINDICATED THAT SHE WAS SATISFIED WITH HER PORTFOLIO.
Date: April 25, 1979 Category: Regulatory Initiated By: MICHIGAN Allegations: SOLD 300 SHARES OF STOCK WITHOUT RECORDING SUCH TRANSATION ON THE BOOKS OF MANLEY BENNETT Resolution: Consent SanctionDetails: Sanctions: Suspension Sanction Details: DOLLEY'S SECURITIES LICENSE SUSPENDED FOR A PERIOD OF ONE BUSINESS DAY COMMENCING MAY 1, 1979 Broker Comment: THE ORDER CONCLUDED THAT IT APPEARED THAT RESPONDENT DOLLEY, ON OR ABOUT JULY 17, 1974, ENGAGED IN CERTAIN ACTS AND PRACTICES IN VIOLATION OF SECTION 204 OF THE MICHIGAN UNIFORM SECURITIES ACT, 1964 P.A. 265, AS AMENDED, AND THE RULES PROMULGATED THEREUNDER, IN THAT ON OR ABOUT JULY 17, 1974, RESPONDENT DOLLEY SOLD TO DR. ROBERT F. BARNETT 300 SHARES OF THE COMMON STOCK OF EMPIRE NATIONAL BANK AT $31.50 PER SHARE WITHOUT RECORDING SUCH TRANSACTION ON THE BOOKS OF MANLEY, BENNETT, MCDONALD & COMPANY OR ISSUING A CONFIRMATION FORM EVIDENCING THE SAME.
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