CHARLES THOMAS BAKER is currently employed as a Broker and/or Investment Adviser at GLOBAL ATLANTIC DISTRIBUTORS, LLC located at 16351 Lakefield Place Drive, Apartment A, WILDWOOD, MO, 63040.
CHARLES THOMAS BAKER has worked at GLOBAL ATLANTIC DISTRIBUTORS, LLC since June 09, 2014
CHARLES THOMAS BAKER has 4 Disclosure Event(s).
Date: April 24, 2006 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABILITY IN CONNECTION WITH THE SALE OF MUTUAL FUNDS. Damage Amount Requested: $9,888.92 Settlement Amount: $11,861.55 Broker Comment: I DO NOT AGREE WITH THE CUSTOMERS' COMPLAINT. THE CLIENTS' HAD A DIVERSIFIED MUTUAL FUND PORTFOLIO WHICH DECREASED IN VALUE DURING THE 2001-2002 STOCK MARKET DECLINES. CUSTOMER IS DOCTOR WHO UNDERSTANDS THAT THE STOCK MARKET CAN BE VOLATILE. VOLATILITY AND RISK TOLERANCE WERE DISCUSSED AND EVALUATED BEFORE MAKING ANY INVESTMENT RECOMMENDATION OR DECISIONS.
Date: January 18, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION IN CONNECTION OF THE SALE OF MUTUAL FUNDS. Damage Amount Requested: $5,915.86 Broker Comment: I DO NOT AGREE WITH THE ALLEGATIONS MENTIONED IN THE COMPLAINT. FURTHERMORE, I HAVE BEEN SEPARATED FROM BANC ONE SECURITIES SINCE NOVEMBER OF 2003. CUSTOMER INVESTED MONEY INTO A GROWTH FUND DURING THE BEAR MARKET WHICH DECREASED IN VALUE LIKE MOST GROWTH FUNDS DID. I HAD SEVERAL CONVERSATIONS AND MEETINGS WITH HER TO DISCUSS THE RAMIFICATIONS OF SELLING A MUTUAL FUND AT A LOSS, HOLDING THE FUND THROUGH THE CYCLE, OR REPOSITIONING THE ASSETS INTO FIXED INCOME SECURITIES.
Date: May 23, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT REP FAILED TO DISCLOSE UPFRONT MUTUAL FUND FEES Damage Amount Requested: $11,803.37
Date: February 01, 2001 Category: Customer Dispute Allegations: CUSTOMER BELIEVES HER INVESTMENT IS UNSUITABLE FOR HER. Damage Amount Requested: $5,828.00 Settlement Amount: $5,640.00
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