WARREN SAMUEL WERNICK is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 30100 CHAGRIN BLVD STE 200, PEPPER PIKE, OH, 44124.
WARREN SAMUEL WERNICK has worked at WELLS FARGO CLEARING SERVICES, LLC since February 26, 2010
Disclosure History
WARREN SAMUEL WERNICK has 2 Disclosure Event(s).
Date: February 17, 2011 Category: Customer Dispute Allegations: THE CUSTOMER COMPLAINED ABOUT THE PERFORMANCE OF A VARIABLE ANNUITY BETWEEN 1997 AND 2004 Damage Amount Requested: $200,000.00
Date: March 10, 1999 Category: Customer Dispute Allegations: ALLEGE UNSUITABLE MUTUAL FUND INVESTMENTS;MISREPRESENTATION. DAMAGES ALLEGED: $10,000. Damage Amount Requested: $10,000.00 Broker Comment: CLAIM DENIED. LETTER OF EXPLANATION SENT TOCLIENT WITH SUPPORTING DOCUMENTATION.BASED ON THE PERSONAL & FINANCIAL INFORMATIONSUPPLIED TO ME BY THE CUSTOMERS THE INVESTMENTS I RECOMMENDEDWERE SUITABLE. I MADE FULL DISCLOSURE OF ALL INVESTMENTCHARACTERISTICS & COMPLETED AN EXPLANATION OF INVESTMENT FORMFOR MUTUAL FUNDS, WHICH THE CUSTOMERS REVIEWED & SIGNED.FURTHERMORE, MY BROKER DEALER, ROYAL ALLIANCE & ASSOC,CONCLUDED THERE WAS NO BASIS TO THE CUSTOMERS' ALLEGATIONS.
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