Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 21, 2018 indicate that Maryland-based Wells Fargo Clearing Services broker Glenn Woolschlager has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Woolschlager (CRD# 1801492).
Glenn Woolschlager has spent 30 years in the securities industry and has been registered with Wells Fargo Clearing Services in Gaithersburg and Clarksburg, Maryland since 2009. Previous registrations include UBS Financial Services in Rockville, Maryland (2001-2009); Donaldson Lufkin & Jenrette Securities Corporation in Jersey City, New Jersey (2000-2001); Credit Suisse First Boston Corporation in New York, New York (1999-2001); BT Alex Brown in Baltimore, Maryland (1997-1999); Alex Brown & Sons (1995-1997); Smith Barney in New York, New York (1993-1995); Lehman Brothers in New York, New York (1989-1993); Johnston Lemon & Company in Washington, DC (1988-1989); Hibbard Brown & Company (1988); and Sherwood Capital (1988). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 18, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 29, 1988; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on March 28, 1995; and Series 7 (General Securities Representative Examination), which he obtained on February 20, 1988. He is a registered broker and investment adviser with 12 US states and territories: California, Colorado, the District of Columbia, Florida, Georgia, Idaho, Maryland, New Jersey, North Carolina, Ohio, Virginia, and Wisconsin. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint
In November 2018 a customer alleged Glenn Woolschlager, while employed at Wells Fargo Clearing Services, executed unauthorized trades in a trust account “by taking instructions from [the trust’s] beneficiaries instead of [the] trustee.” The customer is seeking unspecified damages in the pending complaint.
In 2016 a customer alleged Glenn Woolschlager, while employed at Wells Fargo Advisors, did not explain the details of certain investments. The customer sought $6,000 in damages in the complaint, which was denied.
In 2010 a customer alleged Glenn Woolschlager, while employed at UBS Financial Services, recommended an investment in auction rate securities prior to the widespread illiquidity in the market for auction rate securities. The complaint settled with the firm’s repurchase of the securities at par value, for $100,000.
If you or someone you know has a complaint regarding Glenn Woolschlager, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.