Date: April 22, 2013 Category: Customer Dispute Allegations: ON 4/17/2013 CUSTOMER SENT LETTER TO WINSLOW ALONG WITH A SETTLEMENT AND RELEASE LETTER FOR A PREVIOUSLY REPORTED LOAN OF $30,000 MADE BY MR. LOFGREN FROM THE CUSTOMER. THE LETTER CONTAINED COMPLAINTS WITH RESPECT TO THE LOAN AND PERFORMANCE OF THE ACCOUNT DURING THE PERIOD OF TIME FROM 4/2009 THROUGH 7/2012. THIS WAS THE FIRST INSTACE OF A FORMAL COMPLAINT FROM CUSTOMER PERTAINING TO THIS MATTER. Damage Amount Requested: $68,000.00 Settlement Amount: $30,000.00
Date: August 30, 2012 Category: Employment Separation After Allegations Firm Name: WINSLOW, EVANS & CROCKER, INC. Termination Type: Discharged Allegations: REPRESENTATIVE CAME FORWARD ADMITTING TAKING A $30,000 LOAN FROM A CUSTOMER. UPON FURTHER INQUIRY, REPRESENTATIVE ADMITTED TAKING A 40,000 LOAN FROM HIS RELATIVES WHO WERE ALSO CLIENTS.
Date: February 08, 2001 Category: Customer Dispute Allegations: ALLEGATION OF UNAUTHORIZED TRADING, FAILURE TO FOLLOW INSTRUCTIONS, BREACH OF CONTRACT AND FAILURE TO SUPERVISE. Damage Amount Requested: $262,845.14 Broker Comment: RICHARD APICELLA(212) 783-7337
Date: January 29, 1999 Category: Customer Dispute Allegations: SALOMON SMITH BARNEY CLIENTS THAT INVESTMENTSTRATEGY WAS UNSUITABLE AND AS BRANCH MANAGER BREACH HISFIDUCIARY DUTY Damage Amount Requested: $40,000.00 Settlement Amount: $40,000.00 Broker Comment: FIRM SETTLED THIS MATTER FOR $40,000.00.DINA VENERO AT 440-260-6710
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