CURTIS WALLACE FAULKNER is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 1133 NW WALL STREET, BUILDING 2, BEND, OR, 97703-1987.
CURTIS WALLACE FAULKNER has worked at RBC CAPITAL MARKETS, LLC since February 05, 2009
Disclosure History
CURTIS WALLACE FAULKNER has 4 Disclosure Event(s).
Date: January 28, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT REGISTERED REPRESENTATIVE RECOMMENDED AN UNSUITABLE INVESTMENT. Damage Amount Requested: $11,000.00 Settlement Amount: $11,000.00
Date: July 20, 2009 Category: Customer Dispute Allegations: IT IS CLAIMED THAT FINANCIAL ADVISOR FAILED TO ADVISE CUSTOMER OF TAX CONSEQUENCES OF TRANSACTION IN ABOUT JANUARY 2008. Damage Amount Requested: $8,965.00
Date: December 03, 2001 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE THAT INVESTMENTS RECOMMENDED IN SUMMER 2000 WERE UNSUITABLE. DAMAGES NOT STATED.
Date: March 01, 1994 Category: Customer Dispute Allegations: CLIENT CLAIMS THAT AN INVESTMENT HE MADE OVER6 YRS AGO IS UNSUITABLE FR HIM BECAUSE OF ITS ILLIQUIDITY. THECLIENT HAS ASKED THAT HIS INVESTMENT OF $12,000 BE REFUNDED TOHIM. Damage Amount Requested: $12,000.00 Settlement Amount: $11,300.00 Broker Comment: THE FIRM SETTLED THE DISPUTE BY PAYING THECLIENT $11,300.00 IN EXCHANGE FOR THE SECURITIES.THE FIRM SETTLED [CUSTOMER] DISPUTE IN ORDER TOAVOID THE COSTS AND UNCERTAINTY OF LITIGATION. I HAVE NOT BEENASKED TO CONTRIBUTE TO THE SETTLEMENT.
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