TIMOTHY MARK SHEERIN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1225 FRANKLIN AVE STE 360, GARDEN CITY, NY, 11530.
TIMOTHY MARK SHEERIN has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003
Disclosure History
TIMOTHY MARK SHEERIN has 3 Disclosure Event(s).
Date: November 02, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT A PURCHASE OF STOCK ONMARGIN WAS UNAUTHORIZED. DAMAGES WERE NOT SPECIFIED. Settlement Amount: $7,125.00 Broker Comment: THE FIRM AND BROKER AGREED TO SETTLE WITH CUSTOMER FOR $7,125.00 SOLELY FOR BUSINESS PURPOSES. THE FACONTRIBUTED $3,562.50 TO THE SETTLEMENT.ENTER BRIEF SUMMARY.
Date: March 02, 1998 Category: Customer Dispute Allegations: CLIENTS ALLEGE IE FAILED TO PLACE THEIR FUNDSINTO THE CORRECT ACCOUNT. TIME PERIOD: 1/97. PRODUCTS:FRANKLIN GROWTH AND ALLIANCE GROWTH. DAMAGES: NOT SPECIFIED. Broker Comment: PAINEWEBBER DENIED THE CLAIMNot Provided
Date: February 19, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABILITY AND UNAUTHORIZEDPURCHASE OF TXN OPTIONS. CLIENT ALLEGES THAT IE MARGIN ACCOUNTWITHOUT AUTHORIZATION. DAMAGES: NOT SPECIFIED. TIME PERIOD:9/97-12/97. Broker Comment: PAINEWEBBER DENIED THE CLAIM.Not Provided
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 MARK SHEERIN, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.