DEAN MILLAR FORSTMANN

DEAN MILLAR FORSTMANN is currently employed as a Broker and/or Investment Adviser at CHARLES SCHWAB & CO., INC. located at 11 SOUTH MAIN STREET, WEST HARTFORD, CT, 06107.

DEAN MILLAR FORSTMANN has worked at CHARLES SCHWAB & CO., INC. since April 07, 1992

Disclosure History

DEAN MILLAR FORSTMANN has 1 Disclosure Event(s).

Date: January 06, 2004
Category: Customer Dispute
Allegations: CUSTOMER, WHO HOLDS LIMITED POWER OF ATTORNEY OVER HIS NIECE'S ACCOUNT, ALLEGES THAT I FAILED TO FOLLOW INSTRUCTIONS WITH REGARD TO THE SALE OF CERTAIN SHARES OF FLEETBOSTON FINANCIAL CP IN HIS NIECE'S ACCOUNT.
Damage Amount Requested: $18,717.72

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 DEAN MILLAR FORSTMANN, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.