CHARLES GLENN CUNNINGHAM is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 801 S FILLMORE ST STE 530, STE 530, AMARILLO, TX, 79101.
CHARLES GLENN CUNNINGHAM has worked at SECURITIES AMERICA, INC. since January 06, 2004
Disclosure History
CHARLES GLENN CUNNINGHAM has 2 Disclosure Event(s).
Date: April 22, 2009 Category: Customer Dispute Allegations: CLIENT ALLEDGES HE INSTRUCTED THE REPRESENTATIVE TO SELL 1/3 OF HIS PORTFOLOP ON 02/18/2009. THE REP DID NOT MAKE THE TRADE UNTIL 03/09/2009. THE CLIENT STATES THE REPRESENTATIVE DID NOT HAVE DISCRETION TO MAKE THESE TRADES. CLIENT WANTS TO HAVE $11,984.28 REIMBURSED. Damage Amount Requested: $11,984.28 Broker Comment: WE DENY ALL CHARGES. WE AGREED ON A STRATEGY AND BELIEVED THAT THE NEW ACCOUNT NEEDED TO BE OPENED PRIOR TO MAKING THE CHANGES. THE CHANGES WERE MADE ON THE ACCOUNT AS SOON AS THE NEW ACCOUNT WAS OPENED ACCORDING TO THE ESTABLISHED PLAN.
Date: July 24, 2002 Category: Customer Dispute Allegations: TEXAS RESIDENT COMPLAINS THAT INSTRUCTIONS GIVEN ON JULY 11, 2002 TO LIQUIDATE ASSETS ON JULY 12 WERE NOT HONORED. APPEARS THAT THIS WAS AN HONEST MISTAKE. CLIENT DEMANDS THAT FUNDS IMMEDIATELY LIQUIDATED AND THAT HE ALSO RECEIVE DIFFERENTIAL BETWEEN ACTUAL PRICE AND PRICE AND 7/12, APPROXIMATELY $13K. Damage Amount Requested: $13,000.00 Settlement Amount: $14,527.35 Broker Comment: SETTLED IN THE INTEREST OF CLIENT RELATIONS AND TO AVOID COSTLY AND TIME CONSUMING FORMAL PROCEEDINGS, WITHOUT ADMITTING LIABILITY, IN THE AMOUNT OF $14,527.35.
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