KARLA KENNEDY HICKS is currently employed as a Broker and/or Investment Adviser at VANGUARD MARKETING CORPORATION located at 2525 WATER RIDGE PARKWAY, 1 NORTH FALLS PLAZA, STE 100, CHARLOTTE, NC, 28217.
KARLA KENNEDY HICKS has worked at VANGUARD MARKETING CORPORATION since June 28, 2012
Disclosure History
KARLA KENNEDY HICKS has 1 Disclosure Event(s).
Date: June 23, 2014 Category: Customer Dispute Allegations: ON MARCH 7, 2014, [CUSTOMER] SPOKE WITH KARLA HICKS TO ESTABLISH AN IRA WITH VANGUARD AND INITIATE AN ASSET TRANSFER TO THE NEW ACCOUNT. [CUSTOMER] ALLEGES MS. HICKS CONFIRMED THAT, UPON VANGUARD'S RECEIPT OF THE ASSETS ON MARCH 17, 2014, HIS ASSETS WOULD BE INVESTED IN THE LIFESTRATEGY MODERATE GROWTH FUND. MS. HICKS IMPLIED THAT NO ADDITIONAL ACTION WOULD BE REQUIRED ON THE PART OF [CUSTOMER] TO ENSURE THIS EXCHANGE OCCURED. INSTEAD THE ASSETS WERE SWEPT TO THE PRIME MONEY MARKET FUND. THE TRANSFER OF ASSETS TO THE LIFESTRATEGY MODERATE GROWTH FUND DID NOT OCCUR UNTIL [CUSTOMER] INITIATED THE EXCHANGE ON JULY 1, 2014 WHICH RESULTED IN 827.353 FEWER SHARES HAD THE TRANSFER OCCURRED ON MARCH 17, 2014. Damage Amount Requested: $27,865.70 Settlement Amount: $27,865.70
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