JACK WENDELL GRIFFITH is currently employed as a Broker and/or Investment Adviser at JANNEY MONTGOMERY SCOTT LLC located at 1441 MAIN STREET, SUITE 700, COLUMBIA, SC, 29201.
JACK WENDELL GRIFFITH has worked at JANNEY MONTGOMERY SCOTT LLC since January 27, 2014
Disclosure History
JACK WENDELL GRIFFITH has 6 Disclosure Event(s).
Date: January 10, 2018 Category: Customer Dispute Allegations: Clients through their attorney allege that the Financial Advisor made questionable recommendations for the client's account, exposed the client to overconcentration and breached his fiduciary duty. Damage Amount Requested: $200,000.00
Date: January 10, 2018 Category: Customer Dispute Allegations: Claimants allege that FA made unsuitable investments in their accounts. Damage Amount Requested: $150,000.00
Date: February 17, 2017 Category: Customer Dispute Allegations: Client through its attorney alleges that the Financial Advisor recommended unsuitable securities and caused the client's accounts to be over-concentrated in energy investments. Damage Amount Requested: $4,265,639.00
Date: August 11, 2014 Category: Customer Dispute Allegations: THE CLIENT ALLEGED A GNMA PURCHASE IN DECEMBER 2011 AND A FNMA PURCHASE IN FEBRUARY 2013 WERE MISREPRESENTED. Damage Amount Requested: $8,435.30
Date: July 11, 2011 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT HIS ADVISOR MADE AN UNSUITABLE RECOMMENDATION THAT HE INVEST $125,000 IN LEHMAN BROTHERS BONDS IN JULY 2008. AFTER LEHMAN BROTHERS DECLARED BANKRUPTCY IN SEPTEMBER 2008, THE BONDS WERE SOLD, REALIZING A PURPORTED LOSS OF $94,162. Damage Amount Requested: $94,162.00 Settlement Amount: $53,000.00 Broker Comment: AMERIPRISE CHOSE TO SETTLE THE MATTER IN ORDER TO AVOID THE COSTS ASSOCIATED WITH FINRA ARBITRATION.
Date: January 17, 2003 Category: Judgment / Lien Judgment/Lien Amount: $5,565.00 Judgment/Lien Type: Civil Broker Comment: I WAS MADE AWARE OF THIS JUDGMENT ON 09/19/2012.
More Information
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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.
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