Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 28, 2018 indicate that Indiana-based Wells Fargo Clearing Services broker/adviser David Dill has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dill (CRD# 2878249).
David Dill has spent 20 years in the securities industry and has been registered with Wells Fargo Clearing Services in Merrillville, Indiana and Bradenton, Florida since 2008. He was previously registered with AG Edwards & Sons in Chesterton, Indiana (1998-2008). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 20, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 22, 1998; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on May 15, 1998; and Series 3 (National Commodity Futures Examination), which he obtained on April 2, 1997. He is a registered broker and investment adviser with 12 US states and territories: Alabama, Arizona, California, Florida, Illinois, Indiana, Michigan, Nevada, North Carolina, Ohio, South Dakota, and Texas. 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 two customer complaints and one pending customer complaint.
In October 2018 a customer alleged David Dill, while employed at Wells Fargo Advisors, recommended unsuitable energy investments and executed trades without first consulting the customer. The customer is seeking $1,200,000 in damages in the pending complaint.
In 2010 a customer alleged David Dill, while employed at Wells Fargo Advisors, sold assets instead of transferring them in-kind as requested. The complaint settled for more than $490.
In 2002 a customer alleged David Dill, while employed at AG Edwards & Sons, recommended an inappropriate investment in unit investment trusts. The complaint settled in 2003 for $9,000.
If you or someone you know has a complaint regarding David Dill, 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.