THOMAS JOSEPH COTRONE is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 6303 WATERFORD BLVD, STE 100, OKLAHOMA CITY, OK, 73118.
THOMAS JOSEPH COTRONE has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
THOMAS JOSEPH COTRONE has 2 Disclosure Event(s).
Date: January 15, 2009 Category: Customer Dispute Allegations: ALLEGES FAILURE TO FOLLOW INSTRUCTION TO LIQUIDATE SECURITIES WHEN ACCOUNT VALUE REACHED CERTAIN AMOUNT. DATES NOT SPECIFIED. Damage Amount Requested: $31,699.00 Settlement Amount: $15,000.00 Broker Comment: I DENY ALL THE ALLEGATIONS. THE SETTLEMENT OF $15,000 WAS BASED ON THE PROJECTED COST TO LITIGATE THE CLAIM NOT ON MERITS OF THE CLAIM.
Date: December 21, 2001 Category: Customer Dispute Allegations: ALLEGING PRUCO POLICY WAS MISREPRESENTED AT THE TIME OF PURCHASE. I WAS NOT THE AGENT OF RECORD, I WAS NOT COMPENSATED NOR DID I ADVISE HER AS TO PURCHASING THIS POLICY. I MERELY INTRODUCED HER TO THE PRUCO AGENT. THE POLICY WAS SOLD TO HER APPROX EIGHT YEARS AGO Settlement Amount: $157,084.64
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