THOMAS EDWARD MCGLONE is currently employed as a Broker and/or Investment Adviser at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located at 110 ANGLERS RD STE 105A, STE 229, LEWES, DE, 19958.
THOMAS EDWARD MCGLONE has worked at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC since March 09, 2007
Disclosure History
THOMAS EDWARD MCGLONE has 1 Disclosure Event(s).
Date: December 05, 2008 Category: Customer Dispute Allegations: CLIENT STATES FA DID NOT CONSULT WITH HER ON MOST OF THE BUYS AND SELLS IN HER ACCOUNTS BETWEEN SEPTEMBER 25, 2006 AND DECEMBER 31, 2007. CLAIM AMOUNT IS UNSPECIFIED BUT BELIEVED TO EXCEED $5,000 Broker Comment: ALLEGED "UNAUTHORIZED" TRADES OCCURRED OVER 3 1/2 YEARS AGO AND ALMOST A YEAR AFTER THE ACCOUNT TRANSFERRED OUT. FA DENIES EVER ENTERING A TRADE WITHOUT SUTHORIZATION.***FA'S RESPONSE: THIS COMPLAINT WAS COMPLETELY WITHOUT MERIT. THE COMPLAINTANT'S ACCOUNTS HAD A PROFIT WHILE PROVIDING 3 YEARS OF NEEDED INCOME. PLANNING ALSO ALLOWED THE ELIMINATION OF PENALTIES ON EARLY IRA DISTRIBUTIONS THAT HAD BEEN INCURRED OVER THE PAST 3 TO 4 YEARS.
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