Charles W. Duncan is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 504 GRAND CENTRAL AVENUE, VIENNA, WV, 26105.
Charles W. Duncan has worked at EDWARD JONES since March 04, 1997
Disclosure History
Charles W. Duncan has 1 Disclosure Event(s).
Date: January 30, 2009 Category: Customer Dispute Allegations: 11/08-1/09; CLIENT STATES WHEN SHE MET WITH THE FA HE GAVE HER A RISK TOLERANCE QUESTIONNAIRE WHICH SHE THOUGHT WAS ODD SINCE SHE WAS RETIRED AND DEPENDED ON HER ASSETS FOR INCOME. CLIENT ALSO STATES THE INVESTMENTS RECOMMENDED BY THE FA WERE UNSUITABLE FOR HER NEEDS AND THE FA MISREPRESENTED THE INVESTMENTS AND DID NOT DISCLOSE COMMISSIONS. CLIENT STATES SHE LOST MORE THAN $10,000 AND IS REQUESTING RETURN OF COMMISSIONS. Damage Amount Requested: $5,000.00 Settlement Amount: $917.25 Broker Comment: REVIEW OF THE CLIENT'S TWO ACCOUNTS DOES SHOW THAT SECURITIES PURCHASED DURING THIS TIME FRAME WERE HELD FOR A VERY SHORT PERIOD OF TIME AND THEN SOLD. AS A RESULT, EDWARD JONES OFFERED A SETTLEMENT IN THE AMOUNT OF $1,528.75. 05/27/09 CLIENT ACCEPTED OUR OFFER.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for Charles W. Duncan, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.