DONALD SCOTT RYKERT is currently employed as a Broker and/or Investment Adviser at SWBC INVESTMENT SERVICES, LLC located at 9311 SAN PEDRO, STE 600, SAN ANTONIO, TX, 78216.
DONALD SCOTT RYKERT has worked at SWBC INVESTMENT SERVICES, LLC since February 02, 2015
Disclosure History
DONALD SCOTT RYKERT has 3 Disclosure Event(s).
Date: June 29, 2004 Category: Customer Dispute Allegations: ALLEGATIONS THAT THE BONDS PURCHASED WERE UNSUITABLE FOR [CUSTOMER]. ALLEGATIONS THAT DONALD SCOTT RYKERT FAILED TO FULLY DISCLOSE THE TRUE FINANCIAL SITUATION OF THE ISSUING COMPANIES Damage Amount Requested: $18,792.00 Damages Granted: $19,419.43 Broker Comment: THE ARBITRATION HAS BEEN APPEALED TO NY CIVIL COURT.THE ARBITRATION RULING WAS UPHELD AND AN AWARD WAS MADE TO THE CLAIMANT.
Date: April 06, 2004 Category: Customer Dispute Allegations: PLAINTIFF PURCHASED REPUBLIC ENGINERED STEELS, INC. MUNICIPAL BONDS AND SEVIOR SECURED DISCOUNT NOTES WITH SEMI-TECH CORP. THAT SUBSEQUENTLY WENT INTO DEFAULT. PLAINTIFF SUED FIXED INCOME SECURITIES, LP. IT'S REP AND STOEVER GLASS & CO., REP'S EMPLOYER AT THE TIME OF THE SALE. Damage Amount Requested: $300,000.00 Settlement Amount: $30,000.00 Broker Comment: CASE WAS SETTLED BY MR. RYKERT PAYING $15,000 AND STOEVER GLASS PAYING $15,000. FIXED INCOME SECURITIES, LP, ALTHOUGH A SETTLING PARTY, DID NOT CONTRIBUTE ANY FUNDS TOWARD THE SETTLEMENT.
Date: February 20, 2003 Category: Customer Dispute Allegations: [CUSTOMER] ALLEGES THAT BOND TRADES MADE UPON MR. RYKERT'S RECOMMENDATION, HAVE LOST $224,895. Damage Amount Requested: $224,095.00
More Information
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