JEFFREY STEVEN FROSHMAN

JEFFREY STEVEN FROSHMAN is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 550 S WINCHESTER BLVD STE 601, SAN JOSE, CA, 95128.

JEFFREY STEVEN FROSHMAN has worked at WELLS FARGO CLEARING SERVICES, LLC since November 08, 2010

Disclosure History

JEFFREY STEVEN FROSHMAN has 1 Disclosure Event(s).

Date: December 20, 2007
Category: Customer Dispute
Allegations: [CUSTOMER], THROUGH HER CPA NEIGHBOR IS ALLEGING THAT THESE INVESTMENTS WERE UNSUITABLE. THE ADVISOR, JEFFREY FROSHMAN STATES THAT AT THE TIME THE INVESTMENTS WERE MADE, NEITHER INCOME NOR LIQUIDITY WAS AN ISSUE. THEY WERE APPROPRIATE FOR THE CLIENT AT THE TIME THE INVESTMENTS WERE MADE.
Damage Amount Requested: $16,200.00
Settlement Amount: $16,200.00
Broker Comment: THE COMPLAINT WAS SETTLED BY PAYING CLAIMANT $16200 WHICH WAS THE PREPAYMENT PENALTY FOR LIQUIDATING THE WELLS II REIT BEFORE ITS MATURITY DATE.

More Information

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