PAUL JEFFERY GOTTSHALL

PAUL JEFFERY GOTTSHALL is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 3007 CALUMET AVENUE, MANITOWOC, WI, 54220.

PAUL JEFFERY GOTTSHALL has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since October 30, 2009

Disclosure History

PAUL JEFFERY GOTTSHALL has 1 Disclosure Event(s).

Date: April 05, 2010
Category: Customer Dispute
Allegations: 8/3/09-4/5/10; CLIENT CLAIMS SHE REQUESTED $3,000.00 FROM HER MONEY MARKET ACCOUNT IN JULY 2009. CLIENT CLAIMS THE FA CONTACTED HER AND SUGGESTED SELLING THE SLM CORP EDNOTE TO PROVIDE HER WITH THE FUNDS SHE NEEDED. THE CLIENT CLAIMS THE FA DID NOT MENTION SHE WOULD INCUR A LOSS IF SHE SOLD IT. THE CLIENT STATES WHEN SHE GOT HER STATEMENT SHE DISCOVERED SHE HAD LOST $15,742.45 S A RESULT OF THE SALE. THE CLIENT CLAIMS SHE CONTACTED THE FA TO COMPLAIN ABOUT IT AND WAS TOLD OUR CORPORATE OFFICE HAD RECOMMENDED CLIENTS SELL THE INVESTMENT BECAUSE IT WAS LOSING VALUE. THE CLIENT STATES THE FA ALSO EXPLAINED TO HER SHE WOULD BE ABLE TO TAKE THE LOSS AGAINST HER TAXES. THE CLIENT FEELS THE BOND WAS SOLD WITHOUT TELLING HER THE TOTAL EFFECT OF THE TRANSACTION. THE CLIENT WOULD LIKE TO RECOUP HER LOSSES OF $15,742.45.
Damage Amount Requested: $15,742.45

More Information

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