JEFFREY GEORGE BOWMAN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 255 S COUNTY RD, STE 100, PALM BEACH, FL, 33480.
JEFFREY GEORGE BOWMAN has worked at WELLS FARGO CLEARING SERVICES, LLC since March 11, 2004
Disclosure History
JEFFREY GEORGE BOWMAN has 3 Disclosure Event(s).
Date: August 27, 2007 Category: Customer Dispute Allegations: FLORIDA RESIDENT STATES THAT HE THOUGHT FA TOLD HIM THERE WOULD NOT BE A CDSC FOR LIQUIDATING $14 MILLION WORTH OF MUTUAL FUNDS. HOWEVER, CLIENT WAS CHARGED A CDSC OF $52,000 ON THE LIQUIDATION OF $5.2 MILLION OF THE MUTUAL FUNDS. CLIENT IS REQUESTING THAT WE CANCEL THE SALE OF $5.2 MILLION OF MUTUAL FUNDS THAT HE PAID CDSC. ON 8/20/07, CLIENT LIQUIDATED EATON VANCE MUNI BOND FD, EATON VANCE NATIONAL MUNI FUND, EATON VANCE FLOATING RATE FD, NUVEEN HIGH YIELD MUNI BOND FD, OPPENHEIMER AMT-FREE MUNICIPALS, OPPENHEIMER ROCHESTER NATIONAL MUNI, OPPENHEIMER CALIFORNIA MUNICIPAL FD, AND GOLDMAN SACHS HIGH YIELD MUNICIPAL FD. Damage Amount Requested: $52,000.00 Settlement Amount: $18,256.07 Broker Comment: VERBAL COMPLAINT THAT SETTLED FOR $18,256.07 BY CANCELING TRADES IN THE INTEREST OF CLIENT RELATIONS AND TO AVOID MORE COSTLY FORMAL PROCEEDINGS.
Date: May 13, 2004 Category: Customer Dispute Allegations: FLORIDA RESIDENT WRITES THAT RR FAILED TO FOLLOW ASSET ALLOCATION AND DOLLAR COST AVERAGING STRATEGIES AGREED UPON IN MARCH 2004. INVESTED $1.5MM TOTAL, AND REQUESTS COMPENSATION FOR REALIZED AND UNREALIZED LOSSES OF $34,000. Damage Amount Requested: $34,000.00 Broker Comment: INVESTMENTS WERE IN LINE WITH WRITTEN AND VERBAL ACCOUNT OBJECTIVES. PURCHASES WERE EXECUTED IN APRIL TO TAKE ADVANTAGE OF SHARP DROP IN BOND PRICES, AND RR CERTAIN THAT ALL TRADES WERE AUTHORIZED PRIOR TO EXECUTION. NO WRONGDOING FOUND. CLAIM DENIED.
Date: May 10, 1988 Category: Employment Separation After Allegations Firm Name: CURT'S MOBIL GAS Termination Type: Permitted to Resign Allegations: I WAS ACCUSED OF PILTERING A 6-PACK OF BEERFROM MY PLACE OF EMPLOYMENT. Broker Comment: I WAS TERMINATED IMMEDIATELY, NO OTHER ACTIONTAKEN.
More Information
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