FRANK JOHN WARD is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 11404 WEST DODGE ROAD, SUITE 420, OMAHA, NE, 68154.
FRANK JOHN WARD has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since June 17, 2015
Disclosure History
FRANK JOHN WARD has 2 Disclosure Event(s).
Date: July 21, 1998 Category: Customer Dispute Allegations: UNAUTHORIZED, UNSUITABLE AND EXCESSIVETRADING IN MUNICIPAL BONDS. WHILE THE CUSTOMER DID NOT SPECIFYTHE AMOUNT OF COMPENSATORY DAMAGES, SHE IS ASKING FOR CERTAINTRADES TO BE REVERSED PLUS INTEREST. THE FIRM REASONABLYBELIEVES THAT TO ACCOMODATE THE CUSTOMER'S REQUESTS, IT WOULDINVOLVE IN EXCESS OF $5,000.00 IN COMPENSATORY DAMAGES. Broker Comment: THE FIRM'S INVESTIGATION OF THE CLAIMS AT ISSUEDISCLOSED THAT THEY WERE COMPLETELY DEVOID OF MERIT.ACCORDINGLY, THE COMPLAINT WAS DENIED IN FULL.NOT PROVIDED
Date: February 05, 1995 Category: Customer Dispute Allegations: ALLEGED MISREPRESENTATION REGARDINGINVESTMENT IN INDEPENDENT LIVING MTGE AND INSURED MTGE. PRTNERSPURCHASED IN 1989. DAMAGES WERE UNSPECIFIED Settlement Amount: $14,260.00 Broker Comment: PW SETTLED FOR $14,260 IN EXCHANGE FOR THE LPUNITS, RESULTING IN A NET SETTLEMENT COST TO THE FIRM OF APPROX$340. SETTLEMENT REACHED IN ORDER TO ACHIEVE A MUTUALLYACCEPTABLE RESOLUTION.I DENY THAT ANY SECURITIES, LIMITED PARTNERSHIPS,SOLD TO CUSTOMER WERE IN ANYWAY MISREPRESENTED. CUSTOMERWAS INFORMED OF ALL RISKS AND ILLIQUIDITY PRIOR TO THEPURCHASE. I PROVIDED CUSTOMER WITH PROSPECTUSES PRIOR TO THEPURCHASE OF HER PARTNERSHIPS. ALL SALES LITERATURE PROVIDED TOCUSTOMER WAS PRINTED AND APPROVED BY PAINE WEBBER. ALLPOLICIES AND PROCEDURES AS WELL AS SUITABILITY REQUIREMENTS PUTIN PLACE BY PAINEWEBBER WERE STRICTLY FOLLOWED. DISCUSSIONS OFDIVERSIFICATION AND SUITABILITY AMONG APPROPRIATE INVESTMENTSWERE MANY AND VERBOSE.
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