Details

ALAN L JR MAXWELL NFA ID: 0295007

 Current Status 
NO CURRENT STATUS
 Regulatory Actions 
 AgencyNumber
NFA0
CFTC0
Exchanges0
details...
 NFA Arbitration Decisions 
 RoleNumber
Claimant0
Respondent0
details...
 CFTC Reparations Cases 
Total0
details...
 History 
 Status Effective Date
FIRST UNION FUTURES CORPORATION 
• PRINCIPAL WITHDRAWN 05/31/2000 
• PRINCIPAL APPROVED 11/10/1999 
• PRINCIPAL PENDING 05/05/1999 
WELLS FARGO CLEARING SERVICES LLC 
• PRINCIPAL WITHDRAWN 07/01/2003 
• PRINCIPAL APPROVED 05/12/2000 
• PRINCIPAL PENDING 04/24/2000 
WELLS FARGO PRIME SERVICES LLC 
• PRINCIPAL WITHDRAWN 08/03/2015 
• PRINCIPAL APPROVED 11/10/2014 
• PRINCIPAL PENDING 10/28/2014 
WELLS FARGO SECURITIES LLC 
• PRINCIPAL WITHDRAWN 10/09/2014 
• PRINCIPAL APPROVED 06/02/2004 
• PRINCIPAL PENDING 02/05/2004