James David Hauser

James David Hauser is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 8575 W FOREST HOME AVE STE 180, GREENFIELD, WI, 53228.

James David Hauser has worked at EDWARD JONES since October 04, 2012

Disclosure History

James David Hauser has 1 Disclosure Event(s).

Date: January 12, 2016
Category: Customer Dispute
Allegations: The Claimants allege the Financial Advisor made unsuitable recommendations to purchase two equities between October 2014 and April 2015.
Damage Amount Requested: $55,000.00
Settlement Amount: $25,000.00

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.

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