FREDERICK CARL OSTERMEYER is currently employed as a Broker and/or Investment Adviser at KMS FINANCIAL SERVICES, INC. located at 605 E 8TH AVE SUITE D, POST FALLS, ID, 83854.
FREDERICK CARL OSTERMEYER has worked at KMS FINANCIAL SERVICES, INC. since July 23, 1993
Disclosure History
FREDERICK CARL OSTERMEYER has 1 Disclosure Event(s).
Date: March 25, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGED SHE LEFT A VOICE MESSAGE INSTRUCTION TO REP TO SELL HER MUTUAL FUNDS ON 9/28/09 BUT THAT REP FAILED TO EXECUTE SUCH ORDERS. CLIENT REQUESTED REIMBURSEMENT OF $6,925.95 OF COSTS ASSOCIATED WITH ALLEGED DELAY. CLIENT ALSO ALLEGED REP REPEATEDLY FAILED TO GIVE HER RECOMMENDATIONS TO HER CURRENT INVESTMENT HOLDINGS THROUGHOUT 2008. Damage Amount Requested: $6,925.95 Broker Comment: CLIENT GAVE ME AN ORDER TO SELL HER INVESTMENT HOLDINGS ON 2/28/09 AND I PROMPTLY EXECUTED HER ORDER. IF SHE LEFT A VOICE MESSAGE ON 9/28/08 INSTRUCTING ME TO SELL, I NEVER RECEIVED IT. SHE DIDN'T CALL OR MENTION THE ALLEGED INSTRUCTIONS IMMEDIATELY AFTER THE ORDER, IN SUBSEQUENT MEETINGS OR EVEN WHEN SHE PLACED HER REAL ORDER WHICH WAS EXECUTED. WE RESPECTFULLY DECLINED TO REIMBURSE THE CLIENT FOR THE DAMAGES AND DENIED THE ALLEGATION CLIENT REPEATEDLY SOUGHT RECOMMENDATIONS THROUGHOUT 2008.
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