CHARLES EDWARD STOCKHAM is currently employed as a Broker and/or Investment Adviser at FIRST ALLIED SECURITIES, INC. located at 90 AVIEMORE DRIVE, PINEHURST, NC, 28374.
CHARLES EDWARD STOCKHAM has worked at FIRST ALLIED SECURITIES, INC. since December 15, 1994
Disclosure History
CHARLES EDWARD STOCKHAM has 1 Disclosure Event(s).
Date: June 17, 2002 Category: Customer Dispute Allegations: UNSUITABLE INVESTMENTS, FAILURE TO EXECUTE REQUESTED STOP LOSS LIMITS ON TOTAL ACCOUNT. SETTLEMENT WAS FOR THE DIFFERENCE BETWEEN DOWNSIDE LIMITS AND ACTUAL LIQUIDATED VALUE. Damage Amount Requested: $15,395.36 Settlement Amount: $15,395.36 Broker Comment: CHARLES DENIES THE ALLEGATION OF "UNSUITABLE INVESTMENTS", BUT DID SETTLE THE COMPLAINT BASED ON THE ALLEGATION OF FAILURE TO EXECUTE A STOP LOSS ORDER.
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