ERIC ALLAN STEGMANN

ERIC ALLAN STEGMANN is currently employed as a Broker and/or Investment Adviser at CHARLES SCHWAB & CO., INC. located at 3310 Dallas Parkway, SUITE 111, PLANO, TX, 75093-7709.

ERIC ALLAN STEGMANN has worked at CHARLES SCHWAB & CO., INC. since April 30, 2004

Disclosure History

ERIC ALLAN STEGMANN has 3 Disclosure Event(s).

Date: September 04, 2009
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES MISREPRESENTATION IN CONNECTION WITH THE PURCHASE OF THE SCHWAB YIELD PLUS FUND ON JULY 22, 2005.
Damage Amount Requested: $22,800.00
Broker Comment: THIS COMPLAINT IS UNFOUNDED. THE PRINCIPAL RISKS OF THE INVESTMENT WERE DISCLOSED TO THE CUSTOMER AND I STRONGLY DENY ANY WRONGDOING IN THIS MATTER.

Date: June 06, 2003
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT INVESTMENTS WERE UNSUITABLE GIVING RISK TOLLERANCE AND OBJECTIVE. CLIENT ALSO ALLEGES THAT SALES LOAD SCHEDULES WERE NOT DISCLOSED.
Damage Amount Requested: $50,000.00
Settlement Amount: $47,500.00
Broker Comment: BOTH PARTIES HAVE AGREED TO SETTLE DISPUTE PRIOR TO ARBITRATION IN AN EFFORT TO MAINTAIN CLIENT RELATIONS. NO FAULT WAS ACKNOWLEDGED BY EITHER PARTY IN THIS SETTLEMENT.

Date: December 05, 2000
Category: Customer Dispute
Allegations: CLIENT DELAYED PAYING FOR TRANSACTIONS TO A POINT WHICH REQUIRED MULTIBLE EXTENSIONS. CLIENT THEN DECIDED TO SELL SECURITIES TO COVER DEBIT. FREE-RIDING VIOLATION WAS IMPOSED AND CLIENT ACCOUNT FROZEN FOR 90 DAYS.
Broker Comment: NO ACTION HAD BEEN TAKEN WHEN RESIGNED FROM DEAN WITTER.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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