DEREK CHRISTOPHER FOX is currently employed as a Broker and/or Investment Adviser at CHARLES SCHWAB & CO., INC. located at 2423 E Lincoln Dr, Phoenix, AZ, 85016-1215.
DEREK CHRISTOPHER FOX has worked at CHARLES SCHWAB & CO., INC. since May 26, 1998
Disclosure History
DEREK CHRISTOPHER FOX has 1 Disclosure Event(s).
Date: December 03, 2009 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE UNSUITABLE INVESTMENTS AND MISREPRESENTATION REGARDING THE PURCHASE OF CIT NOTES. Damage Amount Requested: $386,410.00 Settlement Amount: $52,500.00 Broker Comment: THE CLIENT WAS A SELF DIRECTED INVESTOR THAT PLACED TRADES ONLINE. I DID NOT SOLICIT OR PLACE ANY TRADES FOR THIS CLIENT AND RECEIVED NO COMMISSIONS. THE CLIENT'S CLAIM WAS WITHOUT MERIT. DESPITE THE ABSENCE OF ANY WRONGDOING WHATSOEVER, THE FIRM SETTLED THE COMPLAINT TO AVOID THE COST AND UNCERTAINTY OF LITIGATION, WITH NO ADMISSION OF WRONGDOING AND NO MONETARY CONTRIBUTION FROM THE REPRESENTATIVE.
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