DANIEL SWIFT EDMUNDS is currently employed as a Broker and/or Investment Adviser at WUNDERLICH SECURITIES, INC. located at 103 SUBURBAN ROAD, SUITE 301, KNOXVILLE, TN, 37923.
DANIEL SWIFT EDMUNDS has worked at WUNDERLICH SECURITIES, INC. since October 04, 2013
DANIEL SWIFT EDMUNDS has 2 Disclosure Event(s).
Date: September 13, 1993 Category: Customer Dispute Allegations: CLIAMANTS ALLEGE EDMUNDS MISREPRESENTED THEFIRM'S ASSOCIATION WITH DR. KURT KALTREIDER, A PROFESSIONALMONEY MANAGER, AND THAT EDMUNDS EXERCISED DISCRETIONARYAUTHORITY TO CONDUCT UNAUTHORIZED MARGIN TRANSACTIONS IN THEACCOUNT. CLAIM DAMAGES IN EXCEEDING $10,000. Damage Amount Requested: $80,000.00 Settlement Amount: $80,000.00 Broker Comment: GENERAL RELEASE SIGNED BY CLAIMENTS. A CASHSETTLEMENT WAS PAID BY ROBERT THOMAS SECURITIES, INC., TO THECLAIMANTS IN THE AMOUNT OF $80,000. $32,665.00 PAID BY ERRORS &OMISSIONS LIABILITY, $47,335.00 CHARGED TO DAN EDMUNDS.CLAIMANTS WERE INTRODUCED TO ROBERT THOMASSECURITIES BY INTRODUCING BROKER, A.C. MASINGILL & ASSOCIATES &HAS NO KNOWLEDGE OF HOW KALTREIDER RELATIONSHIP TO RAYMONDJAMES WAS REPRESENTED. CLAIMS WERE ALSO AWARE THAT PURCHASESWERE MADE ON MARGIN, HAD SIGNED MARGIN AGREEMENTS ON FILE.
Date: July 21, 1993 Category: Customer Dispute Allegations: SUITABILITY, MISREPRESENTATION, BREACH OFFIDUCIARY DITY, ACCOUNT RELATED-NEGLIGENCE. SEEKING $71,000.00 Damage Amount Requested: $71,700.00 Settlement Amount: $20,000.00 Broker Comment: SETTLED FOR $20,000, PAID BY DANIEL S. EDMUNDSNOT PROVIDED
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