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
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.
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