OZGUR KARAOSMANOGLU is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 2 WISCONSIN CIRCLE, SUITE 930, CHEVY CHASE, MD, 20815.
OZGUR KARAOSMANOGLU has worked at RAYMOND JAMES & ASSOCIATES, INC. since March 31, 1993
Disclosure History
OZGUR KARAOSMANOGLU has 3 Disclosure Event(s).
Date: August 04, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES POOR RECOMMENDATION/POOR ADVICE. ACTIVITY DATE: 11/26/2007 Settlement Amount: $200,000.00 Broker Comment: THIS SETTLEMENT IS THE RESULT OF A FIRM WIDE AGREEMENT TO REPURCHASE AUCTION RATE SECURITIES (ARS) THAT EXPERIENCED FAILED AUCTIONS AND LIMITED LIQUIDITY THROUGHOUT THE INDUSTRY. THE SETTLEMENT REPURCHASE OF THE ARS WAS EXECUTED AT PAR AND THE FINANCIAL ADVISOR WAS NOT ASKED TO CONTRIBUTE TO THE SETTLEMENT.
Date: July 27, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION. ACTIVITY DATE IS 11/13/2007 THRU 3/10/2010. Settlement Amount: $75,000.00 Broker Comment: THIS SETTLEMENT IS THE RESULT OF A FIRM WIDE AGREEMENT TO REPURCHASE AUCTION RATE SECURITIES (ARS) THAT EXPERIENCED FAILED AUCTIONS AND LIMITED LIQUIDITY THROUGHOUT THE INDUSTRY. THE SETTLEMENT REPURCHASE OF THE ARS WAS EXECUTED AT PAR AND THE FINANCIAL ADVISOR WAS NOT ASKED TO CONTRIBUTE TO THE SETTLEMENT.
Date: November 08, 2009 Category: Customer Dispute Allegations: **UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $15,000 OR MORE** CLAIMANT ALLEGES MISREPRESENTATION OF CLOSED-END AND OPEN-END MUTUAL FUNDS. ACTIVITY DATES ARE FROM 1/7/08 TO 11/08/09. Broker Comment: **UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABLE ON THE CURRENT U4 BECAUSE IT WAS FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $15,000 OR MORE** THE CLIENT SPOKE WITH BRANCH MANAGER AND WITHDREW HIS ALLEGATIONS, AND SENT AN EMAIL STATING THIS.
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