JAMES ALLEN NEUENSCHWANDER is currently employed as a Broker and/or Investment Adviser at G.F. INVESTMENT SERVICES, LLC located at 250 ED ENGLISH LANE, BLDG. 1, STE. A, SHENANDOAH, TX, 77385.
JAMES ALLEN NEUENSCHWANDER has worked at G.F. INVESTMENT SERVICES, LLC since October 03, 2011
JAMES ALLEN NEUENSCHWANDER has 3 Disclosure Event(s).
Date: July 30, 2012 Category: Customer Dispute Allegations: A STATEMENT OF CLAIM WAS SUBMITTED BY AN ATTORNEY REPRESENTING THE CLAIMANTS ALLEGING THAT DURING THE PERIOD OF DECEMBER 2004 THROUGH MARCH 2009 SANDERS MORRIS HARRIS INC. FAILED TO SUPERVISE A FORMER REPRESENTATIVE WHO ALLEGEDLY MADE UNSUITABLE RECOMMENDATIONS IN A GROWTH-FOCUSED EQUITY PORTFOLIO. Damage Amount Requested: $230,000.00 Settlement Amount: $30,000.00
Date: September 14, 2011 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGED THAT THE REPRESENTATIVE AFFECTED AN INAPPROPRIATE AND UNAUTHORIZED TRANSFER OF $173,071 FROM HIS VANGUARD IRA INTO AN ALLIANZ INDEX ANNUITY. ALTHOUGH THE CUSTOMER TERMINATED THE ANNUITY PURCHASE DURING THE FREE LOOK PERIOD AND THE CLIENT'S MONEY WAS RETURNED TO VANGUARD, THE CLIENT CLAIMS THAT HE INCURRED MISSED APPRECIATION IN THE AMOUNT OF $10,192.63. THE FIRM DENIED THE COMPLAINT BECAUSE THE CLIENT AUTHORIZED THE TRANSFER IN WRITING AND SIGNED THE ANNUITY APPLICATION. Damage Amount Requested: $10,192.63
Date: August 10, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT IN 1999, RESPONDENT RECOMMENDED INVESTMENTS IN CLASS B MUTUAL FUNDS THAT WERE AGGRESSIVE AND UNSUITABLE. Damage Amount Requested: $100,000.00 Settlement Amount: $11,000.00 Broker Comment: RESPONDENT CATEGORICALLY DENIES ALLEGATIONS. THE MUTUAL FUNDS RECOMMENDED FOR HER RETIREMENT ACCOUNT(INCLUDING THE SHARE CLASS) WERE AGREED TO, DIVERSIFIED, AND WERE APPROPRIATE. AT NO TIMES WERE RATES OF RETURN GUARANTEED. COPY OF THE SETTLEMENT AGREEMENT SHOWING AMOUNT OF MONETARY COMPANSATION FAXED TO NASD/CRD.
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