ERIK FIEBERT is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at TWO PORTLAND SQUARE, 7TH FLOOR, PORTLAND, ME, 04101.
ERIK FIEBERT has worked at RAYMOND JAMES & ASSOCIATES, INC. since September 06, 2016
Disclosure History
ERIK FIEBERT has 5 Disclosure Event(s).
Date: September 16, 2008 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT RECOMMENDATION OF FREDDIE MAC AND FANNIE MAE PREFERRED SHARES WERE UNSUITABLE FOR THEIR ACCOUNT AND REPRESENTED AS "SAFE". Damage Amount Requested: $25,000.00 Damages Granted: $25,000.00 09-04074
Date: August 16, 1999 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABILITY, UNAUTHORIZED AND EXCESSIVE TRADING, MISREPRESENTATION, BREACH OF FIDUCIARY DUTY, NEGLIGENCE, AND BREACH OF IMPLIED COVENANT AND FAIR DEALING. TIMEFRAME - 1995-1998 Damage Amount Requested: $92,037.00 Settlement Amount: $20,000.00 Broker Comment: RESPONDENTS SETTLED THIS CASE FOR BUSINESS REASONS AND CONTINUE TO DENY ANY WRONG DOING.
Date: October 29, 1998 Category: Customer Dispute Allegations: TRUSTEE ALLEGED THAT THE PURCHASE OF A MUTUALFUND WAS UNSUITABLE. ALLEGED DAMAGES UNSPECIFIED. SMITHBARNEY, INC Broker Comment: THE CLIENTS CLAIM WAS DENIED. THERE WERE NOOPTIONS OR COMMODITIES INVOLVEDNOT PROVIDED
Date: September 08, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGED UNAUTHORIZED TRADING, FAILURETO FOLLOW INSTRUCTIONS AND MISREPRESENTATION STOCKS AND OPTIONSALLEGED DAMAGES UNSPECIFIED SMITH BARNEY, INC. Broker Comment: THE CLIENT'S CLAIM WAS DENIED. THERE WEREOPTIONS INVOLVED BUT NO COMMODITIES INVOLVED.NOT PROVIDED
Date: June 04, 1998 Category: Customer Dispute Allegations: THERE WERE NO SALES PRACTICE ALLEGATIONSAGAINST MR FIEBERT. THIS WAS A MANAGED ACCOUNT OVER WHICH MR.FIEBERT HAD NO CONTROL AND MADE NO RECOMMENDATIONS MOREOVER MR.FIEBERT WAS RELEASED BY THE CLIENTS. Settlement Amount: $110,000.00 Broker Comment: SETTLEDPLEASE ARCHIVE NO SALES PRACTICE VIOLATIONS WEREMADE AGAINST MR. FIEBERT. SEE ATTACHED AGREEMENTS. MATTER NO LONGER REPORTABLE.
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 ERIK FIEBERT, 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.