TIMOTHY DALE RIDDLE is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 500 LEE ST STE 1200, LAIDLEY TOWER, CHARLESTON, WV, 25301.
TIMOTHY DALE RIDDLE has worked at WELLS FARGO CLEARING SERVICES, LLC since October 01, 1999
Disclosure History
TIMOTHY DALE RIDDLE has 1 Disclosure Event(s).
Date: December 26, 2002 Category: Customer Dispute Allegations: A WEST VIRGINIA RESIDENT QUESTIONED THE SUITABILITY OF THE INVESTMENTS MADE IN HER ACCOUNT, AND IN PARTICULAR, TWO ANNUITIES PURCHASED. DAMAGES WERE NOT SPECIFIED. ONE ANNUITY WAS PURCHASED ON AUGUST 27, 1998 AND THE OTHER ANNUITY WAS PURCHASED ON DECEMBER 20, 1995. THE TOTAL COST OF THE ANNUITIES WAS $200,309.39 AS OF THE COMPLAINT FILING DATE, THE ANNUITIES HAD A MARKET VALUE OF $159, 928.62. Damage Amount Requested: $48,663.88 Settlement Amount: $20,000.00 Broker Comment: AS A GOODWILL GESTURE OF CLIENT RELATIONS, WITHOUT ADMITTING LIABILITY ON PART OF THE FIRM OR THE FINANCIAL ADVISOR, THE CLIENT RECEIVED AN ACCOMMODATION IN THE AMOUNT OF $20,000 TO RESOLVE THE COMPLAINT.
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 TIMOTHY DALE RIDDLE, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.