KLAUS DIETER KURT SCHOENING

KLAUS DIETER KURT SCHOENING is currently employed as a Broker and/or Investment Adviser at TRUSTMONT FINANCIAL GROUP, INC. located at 501 WEST BUTLER ROAD, STE A, BOX 4, 200 BRUSH RUN ROAD, SUITE A, GREENVILLE, SC, 29607.

KLAUS DIETER KURT SCHOENING has worked at TRUSTMONT FINANCIAL GROUP, INC. since January 04, 2017

Disclosure History

KLAUS DIETER KURT SCHOENING has 4 Disclosure Event(s).

Date: December 21, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $94,382.35
Judgment/Lien Type: Tax

Date: July 15, 2016
Category: Customer Dispute
Allegations: unsuitable investments
Damage Amount Requested: $40,000.00
Settlement Amount: $40,000.00

Date: May 05, 2008
Category: Customer Dispute
Allegations: NEGILGENCE DUE TO FAILURE TO WATCH ACCOUNT.
Damage Amount Requested: $12,000.00

Date: October 30, 1996
Category: Customer Dispute
Allegations: ALLEGED LOSS OF $10,000.
Damage Amount Requested: $10,000.00
Settlement Amount: $10,000.00
Broker Comment: CUSTOMER WAS GIVEN 208 SHARES OF DUKE POWERSTOCK VALUED AT $10,000 IN SATISFACTION OF CLAIM AGAINST THEFIRM.CUSTOMERS COMPLAINED TO THE BROKER AND FIRMSEVERAL MONTHS AFTER THE DECLINE OF THEIR SECURITIES THAT THEYHAD ENTERED AN ORDER TO SELL THEM WHEN THEY WERE AT APROFITABLE LEVEL. HOWEVER, THEY COULDN`T RECALL WHEN THEORDERES WERE ENTERED, OR AT WHAT PRICE, OR WHAT PRICE THESECURITIES WERE TRADING FOR. WHILE THE FIRM DIDN`T PLACE ANYCREDIBILITY IN THE CUSTOMERS` ALLEGATIONS, AND IT BELIEVES THEBROKER NEVER TOOK ANY ORDER FROM THE CLIENTS, THE FIRM DECIDEDTO SETTLE TO AVOID THE EXPENSE/TIME OF LITIGATION ORARBITRATION.

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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