WILLIAM NOEL GOODWIN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 418 SIXTH AVE STE 1200, [PROFIT FORMULA], DES MOINES, IA, 50309.
WILLIAM NOEL GOODWIN has worked at WELLS FARGO CLEARING SERVICES, LLC since February 07, 1991
WILLIAM NOEL GOODWIN has 4 Disclosure Event(s).
Date: March 26, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGED VERBALLY THAT SECURITIES IN HIS ACCOUNT WERE NOT SUITABLE. Damage Amount Requested: $40,000.00 Settlement Amount: $40,000.00
Date: September 24, 1992 Category: Customer Dispute Allegations: CLAIMS MISREPRESENTATION OF MATERIAL FACT INRECOMMENDING THE STOTLER SECURITIES, BREACH OF FIDUCARY DUTYAND NEGLIGENCE. ALLEGED COMPENSATORY DAMAGES OF $236,725 PLUS Damage Amount Requested: $236,725.00 Broker Comment: Not ProvidedNot Provided
Date: May 01, 1991 Category: Customer Dispute Allegations: UNSUITABLE TRADES, MISREPRESENTATION,NEGLIGENCE. CLAIMANTS [CUSTOMER] REQUESTED THE RECISSION OF THE TRANSACTIONSMADE IN THE CHILDRENS' ACCOUNTS IN EXCHANGE FOR THE ORIGINALINVESTMENT (APPROX $100,000.00) PLUS INTEREST AND ATTORNEYSFEES & COSTS OF THE ACTION Damage Amount Requested: $100,000.00 Damages Granted: $35,750.00 Broker Comment: RESPONDENTS R.G. DICKINSON & CO. AND BILLGOODWIN ARE JOINTLY & SEVERALLY LIABLE FOR AND SHALL PAY TOCLAIMANTS THE TOTAL SUM OF $35,000.00. RESPONDENTS R.G.DICKINSON & CO. AND BILL GOODWIN ARE JOINTLY & SEVERALLY LIABLEFOR & SHALL PAY TO THE NASD FORUM FEES IN THE SUM OF $750.00*SEE ATTACHED COPY OF NASD AWARD*
Date: June 04, 1980 Category: Regulatory Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Allegations: 10/9/87 SEC NEWS DIGEST ISSUE #80-109, DATED JUNE 4, 1980, AND SEC RELEASE NO. 34-16843: THE SEC HAS INSTITUTED PUBLIC ADMINISTRATIVE PROCEEDINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AGAINST WILLIAM N. GOODWIN. THE SEC ALLEGED THAT GOODWIN FAILED REASONABLY TO SUPERVISE WITH A VIEW TO PREVENTING THE VIOLATIONS. Resolution: Order SanctionDetails: Sanctions: Suspension Sanction Details: SUSPENDED GOODWIN FROM ACTING IN A SUPERVISORY CAPACITY WITH ANY BROKER, DEALER, INVESTMENT COMPANY, OR INVESTMENT ADVISER, OR AFFILIATE THEREOF FOR 15 DAYS. Broker Comment: 6-4-80 ND 80-109 (REL. 34-16843): SUSPENDED FROM ACTING IN A SUPERVISORY CAPACITY FOR 15 DAYS. CONSENTED TO THE ENTRY OF FINDINGS WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS. #22H1 NOT APPLICABLE: THIS SANCTION OCCURRED AS A RESULT OF EIGHT LAWSUITS FILED IN 1976 NAMING GOODWIN SOLELY DUE TO HIS POSITION AS CHIARMAN OF HTE BOARD OF DIRECTORS OF R. G. DICKINSON & CO. EACH CASE INVOLVED OPTIONS TRANSCATIONS EXECUTED BY ANOTHER REGISTERED REPRESENTATIVE. NONE OF THE LAWSUITS INVOLVED ANY OF GOODWIN'S CUSTOMERS SUING HIM IN HIS CAPACITY AS BROKER, THEREFORE, SPECIFIC DETAILS RELATING TO THE LAWSUITS ARE NOT AVAILABLE TO GOODWIN. ALL EIGHT LAWSUITS WERE SETTLE BY R.G. DICKINSON & CO. AND GOOD WIN HAS HAD NO ADVERSE JUDGEMENTS AGAINST HIM IN THESE PROCEEDINGS.
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