JOHN RICHARD BICKEL is currently employed as a Broker and/or Investment Adviser at ROBERT W. BAIRD & CO. INCORPORATED located at 210 UNIVERSITY BOULEVARD, SUITE 900, DENVER, CO, 80206.
JOHN RICHARD BICKEL has worked at ROBERT W. BAIRD & CO. INCORPORATED since September 17, 2010
Disclosure History
JOHN RICHARD BICKEL has 2 Disclosure Event(s).
Date: May 05, 1990 Category: Customer Dispute Allegations: CLIENT ALLEGED SHE DID NOT UNDERSTAND HERINVESTMENTS AND REQUESTED HER MONEY BACK. [CUSTOMER]QUESTIONED THE APPROPRIATENESS OF THE INVEST- MENTS. THEINVESTMENT PORTFOLIO WAS VALUED AT APPROXIMATELY $250,000. Damage Amount Requested: $1,000,000.00 Broker Comment: I WAS NOT REQUIRED TO PAY ANY FINES ORSETTLEMENT. THERE WERE NO SUSPENSIONS OR RESTRICTIONS LEVIEDAGAINST ME. I WAS NAMED JOINTLY WITH DEAN WITTER IN A $10,000.SETTLEMENT THAT DEAN WITTER PAID.THERE WERE ADDITIONAL ALLEGATIONS AGAINST DEANWITTER AND THE MANAGER OF NAPLES, FLORIDA OFFICE, AND I WAS NOTNAMED IN THE SETTLEMENT OF THESE CHARGES.
Date: April 27, 1989 Category: Customer Dispute Allegations: THE CLIENT WISHED TO RESCIND A TRADE ONEMONTH AFTER THE ORIGINAL INVESMENT WAS MADE THE INVESTMENT HADNOT LOST MONEY AND WAS PAYING ITS SCHEDULED INTREST PAYMENTS.THE COMPLAINT STATED THAT SHE DID NOT FULLY UNDERSTAND THEINVESTMENT AND THAT SHE FELT IT WAS NOT APROPRIATE FOR HER.COMPLAINT RECEIVED BY DEANWITTER Damage Amount Requested: $118,000.00 Settlement Amount: $118,000.00 Broker Comment: TRADE WAS RECINDED BY DEANWITTER. THERE WAS NOMONETARY COMPENSATIONTHIS IS NOT REPORTABLE ON THE FORM U4.
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.
To view the full report for JOHN RICHARD BICKEL, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.