ERIC LESLIE KOHLMEIER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 100 PARK AVE, PARK RIDGE, NJ, 07656.
ERIC LESLIE KOHLMEIER has worked at WELLS FARGO CLEARING SERVICES, LLC since October 01, 2000
Disclosure History
ERIC LESLIE KOHLMEIER has 3 Disclosure Event(s).
Date: May 28, 2004 Category: Customer Dispute Allegations: CLIENT HAS ALLEGED THAT THE RECOMMENDATION OF THE EATON VANCE TAX ADVANTAGED CLOSED END FUND WAS NOT SUITABLE FOR HIS INVESTMENT OBJECTIVES. CLIENT HAS DEMANDED TO BE MADE WHOLE IN HIS BUSINESS ACCOUNT. THE LOSS IN VALUE CURRENTLY IS $14,004.62. Damage Amount Requested: $14,004.62 Broker Comment: THE FIRM'S REVIEW OF THIS MATTER DID NOT REVEAL ANY EVIDENCE OF WRONGDOING BY THE FIRM OR THE FINANCIAL ADVISOR. THE CLAIM FOR DAMAGES WAS DENIED.
Date: May 02, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT SHE CALLED THE BROKER TO GET 20,000 FOR A NEW CAR AND THE BROKER LIQUIDATED ALL HER STOCK CAUSING HER CAPITAL GAINS. THE CUSTOMER CLAIMS SHE NEVER INTENDED TO SELL THE STOCK. Damage Amount Requested: $57,000.00 Settlement Amount: $40,000.00 Broker Comment: CUSTOMER COMPLAINT WAS SETTLED FOR NEGOTIATED AMOUNT OF $40,000.00.
Date: December 12, 2000 Category: Customer Dispute Allegations: POA ALLEGES THAT THE REP MADE UNSUITABLE RECOMMENDATIONS TO SELL STOCK Damage Amount Requested: $25,700.00 Settlement Amount: $12,000.00 Broker Comment: THE FIRM AND THE CUSTOMER REACHED A MUTUAL AGREEMENT TO SETTLE THE CASE.
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 LESLIE KOHLMEIER, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.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.