CHARLES SCHWARTZ is currently employed as a Broker and/or Investment Adviser at STONEHAVEN, LLC located at 275 MADISON AVENUE, SUITE 2002, NEW YORK, NY, 10016.
CHARLES SCHWARTZ has worked at STONEHAVEN, LLC since March 17, 2015
Date: October 04, 2012 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: SHORT SALE OF PRIMARY RESIDENCE [ADDRESS] - ON SECOND MORTGAGE.
Date: December 28, 2000 Category: Customer Dispute Allegations: IN A LETTER DATED DECEMBER 21, 2000 BC HYDRO ALLEGED VARIOUS CLAIMS AGAINST UBS AND UBS SECURITIES UNDER CANADIAN LAW, ALLEGING, INTER ALIA, THAT CHARLES SCHWARTZ AND ANOTHER MARKETER MADE MATERIAL MISREPRESENTATIONSABOUT THE PRICING AND VALUATION OF A 1998 COMPLEX SWAP TRANSACTION WHICH WAS CONSENSUALLY UNWOUND IN MAY 2000. CHARLES SCHWARTZ AND THE OTHER MARKETER DENIED ALL OF BC'S ALLEGATIONS. THE MATTER WAS SETTLED IN AUGUST 2002 WITHOUT LITIGATION OR ARBITRATION, AND WITHOUT ANY FINDINGSOR ADMISSIONS OF WRONGDOING BY MR. SCHWARTZ OR OTHERS. THE SETTLEMENT TERMS ARE CONFIDENTIAL. MR. SCHWARTZ WAS NOT ASKED TO CONTRIBUTE ANY AMOUNTS TO THE SETTLEMENT AND DID NOT MAKE ANY CONTRIBUTION TO THE SETTLEMENT. Damage Amount Requested: $66,400,000.00
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 SCHWARTZ, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.