RICHARD GORDON GREENWALD is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 300 CONSHOHOCKEN STATE ROAD, SUITE 400, WEST CONSHOHOCKEN, PA, 19428.
RICHARD GORDON GREENWALD has worked at RAYMOND JAMES & ASSOCIATES, INC. since September 30, 2002
Disclosure History
RICHARD GORDON GREENWALD has 2 Disclosure Event(s).
Date: September 14, 2005 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 $10,000 OR MORE** NJ CLIENT, STATES THAT SHE FEELS THAT HER PACIFIC LIFE VARIABLE ANNUITY, PURCHASED ON AUGUST 2000 DOES NOT FIT HER NEEDS AND DID NOT FIT HER NEEDS WHEN PURCHASED. NO DAMAGES ARE SPECIFIED. DAMAGES ARE REASONABLY ESTIMATED TO BE $15,830. Damage Amount Requested: $15,830.00 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 $10,000 OR MORE** PRIOR TO INVESTING ANY DOLLARS, CLAIMANT ARTICULATED HER NEED FOR GROWTH AND INCOME. A WRITTEN FINANCIAL PLAN, DESCRIBING INVESTMENTS, TIME HORIZON AND RISK WAS COMPLETED AND REVIEWED WITH CLAIMANT. AT THAT TIME, 5 YEARS AGO, CLAIMANT DID NOT INDICATE THAT A VARIABLE ANNUITY DID NOT FIT HER NEEDS AS PART OF A WELL DIVERSIFIED ACCOUNT.
Date: May 09, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT HE HAS LOST 40% OF HIS ASSETS THROUGH INVESTMENTS IN MUTUAL FUNDS AND QUESTIONS WHETHER A 71 YEAR OLD RETIREE SHOULD HAVE HAD 80% OF HIS ENTIRE INVESTIBLE FUNDS INVESTED IN ONE ASSET CLASS. Damage Amount Requested: $30,000.00 Settlement Amount: $18,000.00 Broker Comment: ** UPDATE - FOR BUSINESS REASONS AND WITHOUT ADMITTING ANY LIABILITY ON PART OF THE FIRM, THIS MATTER WAS SETTLED IN THE AMOUNT OF $18,000. THE SETTLEMENT WAS ENTERED INTO WITHOUT ADMITTING LIABILITY, WHILE DENYING LIABILITY, IN ORDER TO AVOID THE COST AND UNCERTAINTY OF ARBITRATION. BROKER WAS NOT ASKED TO, NOR DID HE, CONTRIBUTE TO THE SETTLEMENT.** BROKER BELIEVES THAT ALL INVESTMENTS MADE WERE SUITABLE FOR THE CUSTOMERS AND THAT THE INVESTMENT STRATEGY FIT WELL WITHIN THE CUSTOMERS' ARTICULATED INVESTMENT OBJECTIVES AND TIME HORIZON.
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