KARL C WALZ

KARL C WALZ is currently employed as a Broker and/or Investment Adviser at CENTURY SECURITIES ASSOCIATES, INC. located at 874 CROSSWINDS DRIVE, BELLEVILLE, IL, 62221.

KARL C WALZ has worked at CENTURY SECURITIES ASSOCIATES, INC. since June 27, 2017

Disclosure History

KARL C WALZ has 2 Disclosure Event(s).

Date: July 06, 2017
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO MANAGED ACCOUNT FEES - MAY 2015 - JUNE 2017.
Damage Amount Requested: $9,022.00
Settlement Amount: $4,511.02

Date: November 29, 2016
Category: Customer Dispute
Allegations: Clients allege misrepresentation with respect to investments - September 2015 - November 2016.
Damage Amount Requested: $14,000.00

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.

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