JOHN ROBERT STURGIS

JOHN ROBERT STURGIS is currently employed as a Broker and/or Investment Adviser at CHARLES SCHWAB & CO., INC. located at 3101 W. MARCH LANE, SUITE A, STOCKTON, CA, 95219-2303.

JOHN ROBERT STURGIS has worked at CHARLES SCHWAB & CO., INC. since April 09, 2014

Disclosure History

JOHN ROBERT STURGIS has 2 Disclosure Event(s).

Date: September 28, 2009
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGE THAT INSTRUCTION TO SELL IN MAY 2007 WHEN MARKET REACHED 14,000 OR WHEN MARKET LOOKED RISKY WAS NOT FOLLOWED, RESULTING IN LOSSES.
Damage Amount Requested: $29,197.13
Settlement Amount: $10,500.00
Broker Comment: I DISAGREE WITH FIRM'S DECISION TO SETTLE THIS CLAIM, AND DID NOT CONTRIBUTE TO THE SETTLEMENT, WHICH I UNDERSTAND WAS EFFECTED BY THE FIRM TO AVOID THE EXPENSE AND UNCERTAINTY OF LITIGATION.

Date: February 11, 2009
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED THAT PURCHASES OF REIT IN MAY 2007 AND JANUARY 2008 WERE UNSUITABILE, AND REQUESTED LIQUIDATION AND REFUND OF PURCHASE PRICE.
Damage Amount Requested: $5,000.00
Settlement Amount: $12,906.69
Broker Comment: MATTER HAS BEEN RESOLVED THROUGH AGREEMENT TO LIQUIDATE THE SECOND OF THE TWO INVESTMENTS AND RETURN OF PURCHASE PRICE TO CUSTOMER. AMOUNT OF COMPENSATION TO CUSTOMER WILL BE DETERMINED AFTER COMPLETION OF LIQUIDATION.

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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