JAMES MICHAEL SHRADER

JAMES MICHAEL SHRADER is currently employed as a Broker and/or Investment Adviser at ROBERT W. BAIRD & CO. INCORPORATED located at 200 5TH AVENUE SE, SUITE 102, CEDAR RAPIDS, IA, 52401.

JAMES MICHAEL SHRADER has worked at ROBERT W. BAIRD & CO. INCORPORATED since November 12, 1999

Disclosure History

JAMES MICHAEL SHRADER has 3 Disclosure Event(s).

Date: January 24, 2018
Category: Customer Dispute
Allegations: Client's daughter-in-law alleged that on her behalf account performance was poor and requested reimbursement.
Settlement Amount: $9,735.00

Date: May 07, 1998
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNSUITABILITY OF THE FOLLOWINGINVESTMENTS: 10,000 SCOTTS LIQUID GOLD 10% BONDS PURCHASED ON7/25/94; 8,000 BRAUNS FASHION CORP 12% BONDS PURCHASED ON6/4/94; 5,000 PAYLESS CASHWAYS 9.125% SUBORDINATED NOTESPURCHASED ON 6/27/94. DAMAGES SOUGHT: $23,000.00
Damage Amount Requested: $23,000.00
Broker Comment: THE FILE WAS CLOSED ON 11/2/98 ADMINISTRATIVELYBECAUSE THE ALLEGATIONS WERE DENIED AND NO FURTHER ACTION WASTAKEN BY THE CLIENT.NOT PROVIDED

Date: January 07, 1998
Category: Customer Dispute
Allegations: THE CLIENTS QUESTIONED THE ADEQUACY OFRESEARCH AND THE FAILURE TO KEEP THEM APPRAISED OF THERESTRUCTURING OF A CORPORATE NOTE ISSUE. THE CLIENTS HAVEUNREALIZED LOSSES IN EXCESS OF $10,000.
Settlement Amount: $8,000.00
Broker Comment: THE CUSTOMERS WERE PAID $8,000 FOR RELEASE OF ALLCLAIMS.NOT PROVIDED

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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