CHARLES FRANKLIN NEDBAL is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 5847 SAN FELIPE ROAD, SUITE 1400 &1550, HOUSTON, TX, 77057.
CHARLES FRANKLIN NEDBAL has worked at RAYMOND JAMES & ASSOCIATES, INC. since February 13, 2009
Disclosure History
CHARLES FRANKLIN NEDBAL has 1 Disclosure Event(s).
Date: December 08, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGED UNAUTHORIZED TRADING. ACTIVITY BETWEEN 9/10/10 AND 10/21/10. Settlement Amount: $53,684.85 Broker Comment: CLIENT WAS A REFERRAL AND FIRST CONTACTED ME IN THE FALL OF 2008 WANTING INVESTMENT GUIDANCE. AFTER SEVERAL MEETINGS TO REVIEW EXISTING ASSETS, PAST INVESTMENT EXPERIENCE, PROFILE CLIENT GOALS, OBJECTIVES, TIME FRAMES, LIFESTYLE, FAMILY HISTORY ETC., THE FIRST ACCOUNT WAS OPENED IN FALL OF 2010. CLIENT EXPRESSED A BIG NEED FOR TAX-FREE INCOME, SO WE HAD SEVERAL DISCUSSIONS REGARDING CONCERNS ABOUT INTEREST RATES, CREDIT RISK AS WELL AS MANAGING VOLATILITY AND DIVERSIFICATION. IN ADDITION, I EXPLAINED HOW A PORTFOLIO OF HIGHEST QUALITY INDIVIDUAL BONDS WITH STAGGERED MATURITIES ARE A PROVEN STRATEGY TO DEFEND AGAINST WHATEVER INTEREST RATES DO WHEN THOSE BONDS ARE HELD TO THEIR CALL DATE OR MATURITY. I PROPOSED A BOND STRATEGY BASED ON CLIENT'S AGE, RETIREMENT TIME FRAME, LIQUIDITY NEEDS, AS WELL AS WHERE THE BEST VALUE WAS IN THE LONGER MATURITIES- WHICH FORTUNATELY MATCHED WELL WITH THE CLIENT'S TIME HORIZON. AS A RESULT, I BELIEVED CLIENT WAS CONVINCED THIS WAS IN HIS BEST INTERESTS.
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