ALAN DAVID SCHWARTZ is currently employed as a Broker and/or Investment Adviser at GUGGENHEIM SECURITIES, LLC located at 330 MADISON AVENUE, NEW YORK, NY, 10017.
ALAN DAVID SCHWARTZ has worked at GUGGENHEIM SECURITIES, LLC since June 22, 2009
Disclosure History
ALAN DAVID SCHWARTZ has 1 Disclosure Event(s).
Date: March 05, 2013 Category: Customer Dispute Allegations: THE STATEMENT OF CLAIM ALLEGES CLAIMS UNDER SECTIONS 10(B) AND 18 OF THE SECURITIES EXCHANGE ACT AND RULE 10B-5, AS WELL AS CLAIMS FOR COMMON LAW FRAUD AND FOR PUNITIVE DAMAGES UNDER THE FINRA RULE 2011 IN CONNECTION WITH THE PURCHASE OF BEAR STEARNS COMPANIES INC. STOCK IN NOVEMBER AND DECEMBER 2007. Damage Amount Requested: $19,442,682.00 Settlement Amount: $3,150,000.00 Broker Comment: IN MY PAST CAPACITY AS AN OFFICER AND DIRECTOR OF THE FORMER BEAR STEARNS COMPANIES, INC I HAVE BEEN INVOLVED WITH SHAREHOLDER CLAIMS. I AM NOT NAMED AS A DEFENDANT IN THIS MATTER AND AM MENTIONED SOLELY IN RELATION TO PUBLIC STATEMENTS ALLEGEDLY MADE BY ME IN MY CAPACITY AS CEO AT THE TIME. THE STATMENT OF CLAIM DOES NOT ALLEGE ANY DIRECT INTERACTION BETWEEN THE CLAIMANT AND ME.
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