JAMES PURDY MEYER

JAMES PURDY MEYER is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 500 WEST MADISON STREET, SUITE 2500, CHICAGO, IL, 60661-2573.

JAMES PURDY MEYER has worked at RBC CAPITAL MARKETS, LLC since November 10, 2008

Disclosure History

JAMES PURDY MEYER has 6 Disclosure Event(s).

Date: December 12, 2003
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES UNSUITABILITY AND UNAUTHORIZED TRADING
Damage Amount Requested: $256,554.40
Settlement Amount: $50,000.00

Date: October 22, 2003
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES UNSUITABILITY AND UNAUTHORIZED TRADING
Damage Amount Requested: $1,857,969.00
Settlement Amount: $250,000.00

Date: June 05, 2002
Category: Customer Dispute
Allegations: COMPLAINANT HAS ALLEGED THAT HER INVESTMENT REPRESENTATIVE EFFECTED UNSUITABLE AND EXCESSIVE TRADING IN HER ACCOUNT. ALLEGED DAMAGES ARE UNSPECIFIED BUT ESTIMATED TO EXCEED MINIMUM FILING REQUIREMENTS.
Settlement Amount: $20,000.00
Broker Comment: ON 07/07/2003, CLAIMANT AGREED TO SETTLE FOR $20,000.00 FOR DAMAGES RELATED TO LEHMAN ACTIVITY. CLAIMANT HAS FILED NEW ACTION AGAINST JAMES MEYER AND SG COWEN FOR DAMAGES RELATED TO COWEN'S ACTIVITY.

Date: October 19, 2001
Category: Customer Dispute
Allegations: CLAIMANT ALLEGED THAT RESPONANT MADE UNSUITABLE INVESTMENT RECOMMENDATIONS AND EFFECTED UNAUTHORIZED TRADES.
Damage Amount Requested: $385,200.00 Damages Granted: $112,000.00
Broker Comment: CUSTOMER WAS A CUSTOMER OF JAMES MEYER BOTH AT LEHMAN AND COWEN. ON SEPTEMBER 9, 2002, CLAIMANT HAS AGREED TO RELEASE LEHMAN AND JAMES MEYER FOR THE LEHMAN TIME PERIOD FOR A SETTLEMENT OF $24,500 TO BE PAID BY LEHMAN. MEYER REMAINED A DEFENDANT FOR SG COWEN.

Date: September 13, 2001
Category: Customer Dispute
Allegations: COMPLAINT ALLEGES THAT MEYERS IMPROPERLY INDUCED CUSTOMERTO OPEN AN ACCOUNT AT SG COWEN TO BE MANAGED BY CO-DEFENDANT SHAKER INVESTMENTS.COMPLAINT STATES THAT MR. MEYERS FAILED TO PROPERLY INFORM CUSTOMER OF THE NATURE OF THE INVESTMENT COSTS ASSOCIATED WITH THOSE INVESTMENTS
Damage Amount Requested: $106,000.00
Settlement Amount: $15,000.00

Date: March 03, 1992
Category: Customer Dispute
Allegations: CLIENT IS SEEKING DAMAGES OF $90,000 BASEDUPON ALLEGEDLY UNSUITABLE RECOMMENDATIONS.
Damage Amount Requested: $90,000.00
Settlement Amount: $10,000.00
Broker Comment: WITHOUT ADMITTING ANY LIABILITY, BEAR STEARNS,ON BEHALF OF ITSELF AND THE OTHER RESPONDENTS, AGREED TO PAYCOMPLAINANT $10,000 OF WHICH MR. MEYER OFFERED TO PAY $3333.00.Not Provided

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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