JOHN WILLIAM EUGSTER is currently employed as a Broker and/or Investment Adviser at FIRST DOMINION CAPITAL CORP. located at 242 East 72nd Street, New York, NY, 10021.
JOHN WILLIAM EUGSTER has worked at FIRST DOMINION CAPITAL CORP. since September 30, 2016
JOHN WILLIAM EUGSTER has 7 Disclosure Event(s).
Date: June 05, 2007 Category: Regulatory
Date: July 11, 2005 Category: Employment Separation After Allegations Firm Name: WACHOVIA SECURITIES Termination Type: Discharged Allegations: ALLEGED NOT TO HAVE FOLLOWED FIRM POLICY REGARDING SOLICITATION OF INVESTMENT.
Date: July 16, 1999 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT, WHEN THE RR OPENED THE ACCOUNT IN SEPTEMBER 1997, HE NEVER INTERVIEWED HER TO DISCUSS HER INVESTMENT OBJECTIVES, NET WORTH, NOR SOURCES OF INCOME. FURTHER, THE CLIENT ALLEGES THAT HER BROTHER AND NOT SHE ENTERED ALL THE TRADES IN HER ACCOUNT. Damage Amount Requested: $9,000.00
Date: July 16, 1999 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT IN OCTOBER 1997, THE RR ENTERED UNAUTHORIZED AND UNSUITABLE TRADES IN THEIR ACCOUNT WHICH RESULTED IN DAMAGES IN EXCESS OF $46,000.00 Damage Amount Requested: $46,000.00
Date: July 16, 1999 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT, DURING THE FALL OF 1997, THE RR ENTERED EXCESSIVE AN UNAUTHORIZED TRADES IN HIS ACCOUNT. IN ADDITION, THE CLIENT ALLEGES THAT WHEN CONFRONTED WITH THESE COMPLAINTS, MR. EUGSTER OFFERED TO COVER THE LOSSES BY DEPOSITING FUNDS IN THE CLIENT'S ACCOUNT. WE HAVE DETERMINED THAT THE DAMAGES FROM THE ALLEGED CONDUCT WOULD BE MORE THAN $5,000.00 Damage Amount Requested: $5,000.00
Date: November 19, 1998 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT THE JULY 1998PURCHASES OF ADVANCED FIBRE COMMUNICATIONS AND HARNISCHFEGERINDUSTRIES, INC. WERE UNSUITABLE AND UNAUTHORIZED TRADES. THECLIENT SOLD BOTH SECURITIES IN OCTOBER 1998 AND IS NOWALLEGEING LOSSES IN EXCESS OF $37,000. (EMPLOYING FIRM WHENEVENTS OCCURRED-BEAR, STEARNS & CO. INC.) Damage Amount Requested: $35,000.00 Settlement Amount: $15,000.00 Broker Comment: CASE WAS SETTLED FOR $15,000.00 TO AVOID THE COSTS OF LITIGATION. JOHN EUGSTER DID NOT CONTRIBUTE TO THE SETTLEMENT.
Date: September 16, 1998 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT PRIOR TO HIS JULY1998 PURCHASE OF 1,750 SHARES OF HARNISCHFEGER INDUSTRIESSTOCK, I FAILED TO INFORM THE CLIENT THAT THERE WAS A CLASSACTION LAWSUIT FILED AGAINST THE COMPANY. WE HAVE DETERMINEDTHAT THE DAMAGES FROM THE ALLEGED CONDUCT WOULD BE MORE THAN$5,000. (EMPLOYING FIRM WHEN EVENTS OCCURRED - BEAR, STEARNS &CO. INC) Broker Comment: DENIEDALL MATERIAL INFORMATION REGARDING THE INVESTMENTWAS PROVIDED TO THE CLIENT PRIOR TO THE PURCHASE. THE FIRM HASDENIED THE COMPLAINT.
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