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JIM LEE CHESLEY

JIM LEE CHESLEY is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 2408 NORTH BROADWAY STREET, YANKTON, SD, 57078.

JIM LEE CHESLEY has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since February 19, 2013

Disclosure History

JIM LEE CHESLEY has 3 Disclosure Event(s).

Date: June 04, 2003
Category: Customer Dispute
Allegations: THE CLIENTS ALLEGED THAT I DID NOT INTRODUCE MUTUAL FUND BREAKPOINTS, OR DISCLOSE THAT CLASS B MUTUAL FUNDS HAD HIGHER FEES. THE CLIENTS ALSO ALLEGED THAT I DID NOT DISCONTINUE INVESTING THEIR MONTHLY CONTRIBUTIONS FOLLOWING THEIR REQUEST IN EARLY 2003.
Damage Amount Requested: $5,000.00
Settlement Amount: $2,171.51
Broker Comment: THE FIRM FOUND THAT I DID NOT INTRODUCE MUTUAL FUND BREAKPOINTS OR DISCLOSE DIFFERENT MUTUAL FEE STRUCTURES. THE CLIENTS ACCEPTED OUR OFFER TO REIMBURSE SPECIFIC CONTINGENT DEFERRED SALES CHARGES AND REIMBURSE ACCOUNT TRANSFER FEES.

Date: March 21, 2000
Category: Customer Dispute
Allegations: [CUSTOMER] ALLEGE THAT IN DECEMBER 1991 SHE ROLLED OVER HER ERISA QUALIFIED ACCOUNT TO AMERICAN EXPRESS FINANCIAL ADVISORS, AND THAT SHE SUFFERED $13,000.00 IN DAMAGES, CLAIMING THAT AMERICAN EXPRESS FINANCIAL ADVISORS AND MR. CHESLEY DID NOT SHELTER HER ERISA ACCOUNT FROM HER BANKRUPTCY FILING.
Damage Amount Requested: $13,000.00
Settlement Amount: $15,000.00
Broker Comment: AEFA PAID [CUSTOMER] $15000.00 SETTLEMENT AMOUNT ON NOVEMBER 26, 2003. [CUSTOMER] RELEASED AEFA AND CHESLEY FROM ANY AND ALL CLAIMS RELATING TO THIS MATTER.

Date: March 14, 1971
Category: Criminal
Charges: 1 COUNT - PETTY LARCENY - MISDEMEANOR - NOT CHARGED/DISMISSED Charge Type: MISDEMEANOR
Disposition: A. DISMISSED. B. 05/19/1972 C. NO CHARGE/DISMISSED. F. NO FINE/PENALY. G. NO FEE PAID
Broker Comment: IN 1971, CHESLEY AND A NUMBEROF FRIENDS ATTENDED MANY PARTIES WHERE THEY HAD QUITE ABIT TO DRINK. AT ONE OF THE PARTIES, HE BELIEVES THAT TOOKEITHER A CAMERA OR A RADIO, BUT HE ISN'T QUITE SURE. LATERTHAT NIGHT, ABOUT SEVEN OF THE GUYS CHECKED INTO A HOTELROOM, WHEREUPON THE MANAGEMENT CALLED THE POLICE COMPLAININGOF A DISTURBANCE. CHESLEY WAS CHARGED WITH DISORDERLYCONDUCT; HOWEVER, HE STATES THAT THE LINCOLN COURTHOUSE HASNO RECORD OF A PETTY LARCENY CHARGE WHICH WAS RECEIVED ONTHE DOJ REPORT.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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