JOHN EDWARD CAVANAUGH is currently employed as a Broker and/or Investment Adviser at CHARLES SCHWAB & CO., INC. located at 6502 S MCCARRAN BLVD, SUITE E, RENO, NV, 89509-6139.
JOHN EDWARD CAVANAUGH has worked at CHARLES SCHWAB & CO., INC. since January 19, 2004
Disclosure History
JOHN EDWARD CAVANAUGH has 3 Disclosure Event(s).
Date: June 25, 2013 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THE RECOMMENDATION TO BUY CERTAIN FIXED INCOME SECURITIES IN MAY 2013 WAS UNSUITABLE. Damage Amount Requested: $25,000.00 Settlement Amount: $837.03 Broker Comment: THE FIRM SETTLED THE COMPLAINT TO AVOID THE COST AND UNCERTAINTY OF LITIGATION, WITH NO ADMISSION OF WRONGDOING AND NO MONETARY CONTRIBUTION FROM THE REPRESENTATIVE.
Date: June 30, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: SHORT SALE WAS BEST COURSE AGREED UPON BY ALL PARTIES
Date: June 30, 2010 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: SHORT SALE WAS DETERMINED AS BEST FOR ALL PARTYS
More Information
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