GERARDO ARTURO CHAPA is currently employed as a Broker and/or Investment Adviser at GLOBAL FINANCIAL SERVICES, L.L.C. located at 1330 POST OAK BLVD., SUITE 2100, STE 2100, HOUSTON, TX, 77056.
GERARDO ARTURO CHAPA has worked at GLOBAL FINANCIAL SERVICES, L.L.C. since July 12, 1994
Disclosure History
GERARDO ARTURO CHAPA has 2 Disclosure Event(s).
Date: April 10, 2008 Category: Customer Dispute Allegations: ACCOUNTS OPENED IN 2002. THE CLAIMANTS ALLEGE SALES PRACTICE VIOLATIONS IN 2007 AND 2008 AGAINST THE BROKER HANDLING THE ACCOUNTS. THE ARBITRATION WAS FILED AFTER THE FIRM DENIED A WRITTEN COMPLAINT SENT BY THE CLAIMANTS IN APRIL 2008. AS A FIRM PARTNER AND PRINCIPAL, MR. CHAPA WAS NAMED AS A RESPONDENT. Damage Amount Requested: $750,000.00 Settlement Amount: $300,000.00 Broker Comment: FIRM SETTLED WITH CLIENTS TO AVOID ADDITIONAL LEGAL EXPENSES ASSOCIATED WITH GOING TO A HEARING. $50,000 OF THE SETTLEMENT WAS PAID BY THE BROKER HANDLING THE ACCOUNTS WHO WAS TERMINATED BY THE FIRM IN 2008.
Date: December 30, 2005 Category: Regulatory
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