JAMES ROBERT JANSSON

JAMES ROBERT JANSSON is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 5251 DTC PARKWAY, SUITE 1200, GREENWOOD VILLAGE, CO, 80111-2737.

JAMES ROBERT JANSSON has worked at RBC CAPITAL MARKETS, LLC since March 02, 1998

Disclosure History

JAMES ROBERT JANSSON has 2 Disclosure Event(s).

Date: July 26, 1994
Category: Customer Dispute
Allegations: CLIENT HAS ALLEGED THAT THE INFORMATIONPROVIDED TO HIM FROM THE FIRM'S FIXED INCOME TRADING DEPARTMENTREGARDING A CMO MISREPRESENTED THE LIFE OF THE PRODUCT. THECLIENT HAS REQUESTED REIMBURSEMENT OF HIS UNREALIZED LOSSES.CLIENT HAD NO COMPLAINT ABOUT HIS INVESTMENT CONSULTANT ANDREMAINS A CLIENT.
Settlement Amount: $11,319.00
Broker Comment: SOLEY AS A BUSINESS DECISON, THE FIRM PAID THECLIENT $11,319.00 FOR FULL SETTLEMENT OF HIS CLAIM.Not Provided

Date: August 01, 1975
Category: Customer Dispute
Damage Amount Requested: $35,000.00
Settlement Amount: $17,500.00
Broker Comment: IN AUGUST 1975, TWO CLIENTS BROUGHT A SUIT AGAINST MR. JANSSON AND BOETTCHER & COMPANY, INC., AS ARESULT OF A LOSS IN THEIR ACCOUNT OF $35,000. THE CLIENTSCLAIMED THE LOSS WAS CAUSED BY UNSUITABLE RECOMMENDATIONS. THE RECOMMENDATIONS INVOLVED WRITING OF OPTIONS. THE MATTER WAS SETTLED FOR HALF THE AMOUNT ($17,500.00) OF THE DAMAGES CLAIMED, IN DECEMBER 1976.

More Information

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