THOMAS A WOZNIAK is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 350 RYMAN ST, STE 200, MISSOULA, MT, 59802.
THOMAS A WOZNIAK has worked at WELLS FARGO CLEARING SERVICES, LLC since January 03, 2013
Disclosure History
THOMAS A WOZNIAK has 1 Disclosure Event(s).
Date: August 08, 2003 Category: Customer Dispute Allegations: IT IS ALLEGED THAT FA FAILED TO RECOMMEND SUITABLE INVESTMENTS FOR PLAINTIFF IN LIGHT OF HIS FINANCIAL CIRCUMSTANCES, BACKGROUND, AND RISK TOLERANCE. PLAINTIFF DOES NOT ALLEGE SPECIFIC COMPENSATORY DAMAGES. Settlement Amount: $200,000.00 Broker Comment: MR. WOZNIAK BECAME THE BRANCH OFFICE RESIDENT MANAGER AFTER THE UNDERLYING EVENTS COMPLAINED OF OCCURRED. HE DID NOT SERVICE THIS CUSTOMER'S ACCOUNTS AND HAD NOTHING TO DO WITH THE ALLEGED IMPROPER ACTIONS..
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.
To view the full report for THOMAS A WOZNIAK, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.