Pamela Margaret Tegge is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 2358 U S 70 SUITE C, SWANNANOA, NC, 28778.
Pamela Margaret Tegge has worked at EDWARD JONES since January 01, 2006
Disclosure History
Pamela Margaret Tegge has 2 Disclosure Event(s).
Date: September 13, 2013 Category: Customer Dispute Allegations: CLIENT ALLEGES SHE TOLD THE FINANCIAL ADVISOR SHE DID NOT WANT TO INVEST IN THE STOCK MARKET OR IN MUTUAL FUNDS. SHE CLAIMS SHE WAS TOLD SHE WOULD BE INVESTED IN TAX-FREE MUNICIPAL BONDS BUT LATER LEARNED HER MONEY WAS INVESTED IN A TAX-FREE MUNI BOND MUTUAL FUND THAT WENT DOWN IN VALUE. CLIENT IS REQUESTING RECOVERY OF LOSSES. Damage Amount Requested: $5,000.00 Broker Comment: AFTER COMPLETION OF THE FIRM'S INVESTIGATION INTO CLIENT'S ALLEGATIONS, CLAIM WAS DENIED.
Date: March 26, 2012 Category: Customer Dispute Allegations: UNSUITABILITY; MISREPRESENTATION; OMISSION OF FACTS, COMMON LAW FRAUD; BREACH OF FIDUCIARY DUTY; AND NEGLIGENCE. THE CAUSES OF ACTION RELATE TO CLAIMANT'S INVESTMENTS IN GROWTH FUND OF AMERICA, CAPITAL WORLD GROWTH & INCOME FUND, BOND FUND OF AMERICA, CAPITAL WORLD BOND FUND, AND CASH MANAGEMENT TRUST OF AMERICA. UNLESS SPECIFICALLY ADMITTED IN ITS ANSWER, RSPONDENT DENIED THE ALLEGATIONS MADE IN THE STATEMENT OF CLAIM AND ASSERTED VARIOUS AFFIRMATIVE DEFENSES. Damage Amount Requested: $22,075.00 Broker Comment: PAMELA TEGGE WAS A SUBJECT OF THE CUSTOMER'S STATEMENT OF CLAIM ALLEGING TEGGE ANDHER MEMBER FIRM CAUSED SALES PRACTICE VIOLATIONS. THE ARBITRATOR FOUND TEGGE'S MEMBERFIRM LIABLE FOR COMPENSATORY DAMAGES IN THE AMOUNT OF $13,228.00 PLUS INTEREST AT THERATE OF 8% PER ANNUM ACCRUING FROM THE DATE OF THE AWARD UNTIL THE DATE OF PAYMENT OFTHE AWARD.
More Information
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