LAURA JEAN WILLIAMS is currently employed as a Broker and/or Investment Adviser at JANNEY MONTGOMERY SCOTT LLC located at 43 SOUTH BEESON BLVD, UNIONTOWN, PA, 15401.
LAURA JEAN WILLIAMS has worked at JANNEY MONTGOMERY SCOTT LLC since June 25, 2005
Disclosure History
LAURA JEAN WILLIAMS has 2 Disclosure Event(s).
Date: February 20, 2009 Category: Customer Dispute Allegations: PENNSYLVANIAN CLIENT ALLEGES THAT EATON VANCE MUNICIPAL BOND FUND RECOMMENDED BY FINANCIAL CONSULTANT, LAURA WILLIAMS ON OCTOBER 17, 2006 DID NOT MEET WITH THEIR STATED RISK TOLERANCE AND DEMANDS COMPENSATION FOR ESTIMATED LOSS OF $20,000 AS A RESULT. Damage Amount Requested: $20,000.00 Broker Comment: CLAIM DENIED BY FIRM DECEMBER 11, 2009. ON REVIEW THE MUNICIPAL BOND FUND RECOMMENDED BY THE FINANCIAL CONSULTANT APPEARS APPROPRIATE FOR CLIENT'S STATED INVESTMENT OBJECTIVE AND RISK TOLERANCE.
Date: February 10, 2006 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATION IN RECOMMENDATION TO SELL STOCK IN 2003 Damage Amount Requested: $5,000.00 Settlement Amount: $2,500.00 Broker Comment: WITHOUT ADMISSION OF LIABILITY ON MAY 5, 2006 THE PARTIES CONCLUDED IT WOULD BE IN THEIR RESPECTIVE INTERESTS TO RESOLVE THEIR DISPUTES WITHOUT THE NEED FOR COMPLEX, TIME-CONSUMING LITIGATION.
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