CHARLES DURHAM DODDS

CHARLES DURHAM DODDS is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 4503 NORTH MESA, EL PASO, TX, 79912.

CHARLES DURHAM DODDS has worked at RAYMOND JAMES & ASSOCIATES, INC. since November 13, 2014

Disclosure History

CHARLES DURHAM DODDS has 4 Disclosure Event(s).

Date: December 28, 2011
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT REPRESENTATIVE DID NOT FOLLOW HIS INSTRUCTIONS AND FAILED TO PROPERLY COMMUNICATE WITH HIM REGARDING HIS ACCOUNT, WHICH RESULTED IN COSTS ASSOCIATED WITH TRANSFERRING HIS ACCOUNT TO ANOTHER FIRM.
Damage Amount Requested: $8,029.25
Settlement Amount: $2,444.51
Broker Comment: WITHOUT ADMITTING ANY WRONGDOING OR LIABILITY, THE FIRM AND THE REPRESENTATIVE ENTERED INTO A SETTLEMENT AGREEMENT WITH THE CLIENT IN EXCHANGE FOR A RELEASE OF ALL CLAIMS. THIS WAS DONE SOLELY FOR BUSINESS PURPOSES TO AVOID A COSTLY AND LENGTHY LEGAL PROCEEDING.

Date: July 28, 2003
Category: Customer Dispute
Allegations: CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO RISK TOLERANCE AND UNSUITABLE MANAGED ACCOUNT2000. DAMAGES UNSPECIFIED.DAMAGES UNSPECIFIED
Broker Comment: CLAIM DENIED.

Date: March 28, 2003
Category: Customer Dispute
Allegations: CLIENT ALLEGED ANNUITY INVESTMENT WAS UNSUITABLE2000DAMAGES UNSPECIFIED
Broker Comment: CLAIM DENIED.

Date: January 18, 2001
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED THAT HE WAS NOT TOLD THAT HE WAS GIVING UP POLICIES WITH GUARANTEED CASH VALUES FOR POLICIES WITH NO GUARANTEES (LIFE INSURANCE POLICIES). 1999. ALLEGED DAMAGES UNSPECIFIED.
Broker Comment: CLIENT WROTE IN AGAIN SAYING HE NEVER THOUGHT THE FC INTENTIONALLY MISLED HIM ABOUT THE POLICY.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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