ALAN T W BAU is currently employed as a Broker and/or Investment Adviser at PARKLAND SECURITIES, LLC located at 703 N TEJON ST SUITE F, COLORADO SPRINGS, CO, 80903.
ALAN T W BAU has worked at PARKLAND SECURITIES, LLC since June 15, 2011
Disclosure History
ALAN T W BAU has 1 Disclosure Event(s).
Date: November 02, 1999 Category: Customer Dispute Allegations: CUSTOMERS ALLEGED THAT REPRESENTATIVE MADE MISREPRESENTATIONS REGARDING THEIR MUTUAL FUND INVESTMENTS, AND THAT WHEN THEY LIQUIDATED FUNDS AFTER 13 YEARS THEY HAD INCURRED A LOSS. REPRESENTATIVE DENIES ALL CLAIMS, AND MAINTAINS THAT HE MADE ALL DISCLOSURES TO CUSTOMERS REGARDING RISK OF INVESTMENT. REPRESENTATIVE ALSO STATES THAT INVESTMENTS WERE IN ACCORDANCE WITH CUSTOMERS' STATED OBJECTIVES. Damage Amount Requested: $5,718.42 Broker Comment: AFTER INVESTIGATION, EDWARD JONES FORWARDED A DENIAL OF CLAIM LETTER TO THE CUSTOMERS ON 11/15/1999. THE CUSTOMERS RECEIVED ACCOUNT STATEMENTS FOR 13 YEARS, WHICH CONTAINED MARKET VALUE, MARKET FLUCTUATION, AND PERFORMANCE INFORMATION. FURTHERMORE, CUSTOMERS HAD BEEN ADVISED ABOUT THE RISKS OF INVESTMENT BEFORE THEY INVESTED.
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