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
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