Eric J. Conrad is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 613 CENTRAL AVENUE, NEBRASKA CITY, NE, 68410.
Eric J. Conrad has worked at EDWARD JONES since May 15, 1997
Disclosure History
Eric J. Conrad has 1 Disclosure Event(s).
Date: February 15, 2005 Category: Customer Dispute Allegations: CLIENTS PURCHASED HARTFORD FUNDS IN 1999. CLIENTS STATE, AFTER THE PURCHASE HE NOTICED IMMEDIATELY THAT THE FUNDS WERE DECLINING IN VALUE. CLIENTS STATE THEY EXPRESSED THEIR CONCERNS TO THE IR AND WERE ADVISED TO CONTINUE HOLDING THE MUTUAL FUNDS. IN JULY 2002, THE CLIENTS MADE THE DECISION TO LIQUIDATE THE FUNDS, AND ACCORDING TO THE CLIENTS, THEY INCURRED A LOSS OF APPROXIMATELY $72,000.00. CLIENTS STATE THEY HAD ACCEPTED THE LOSS UNTIL READING INFORMATION REGARDING THE FIRM'S RECENT SETTLEMENT. CLIENTS NOW ALLEGE THE IR RECOMMENDED THE FUNDS AS A RESULT OF INCENTIVE PLANS AND FEEL THEY HAVE BEEN "EXPLOITED". Damage Amount Requested: $72,000.00 Broker Comment: WHEN THE CLIENTS PURCHASED THE HARTFORD FUNDS, THE FIRM DID NOT SPONSOR CONTESTS BASED SOLELY ON MUTUAL FUND SALES. THE FIRM HAD DIVERSIFICATION CONTESTS OF WHICH THE PRIMARY OBJECTIVE WAS TO BUILD BUSINESSES THAT PROMOTE DIVERSIFICATION OF PORTFOLIOS AS WELL AS SUPPORTING THE FIRM'S INVESTMENT PHILOSOPHY. CLAIM DENIED.
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 Eric J. Conrad, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.