RICHARD FRANCIS JUBA is currently employed as a Broker and/or Investment Adviser at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located at 14455 PRESTON RD, SUITE 208, DALLAS, TX, 75254.
RICHARD FRANCIS JUBA has worked at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. since June 21, 2012
Disclosure History
RICHARD FRANCIS JUBA has 3 Disclosure Event(s).
Date: April 26, 2002 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE THAT THEY WERE RISK INTOLERANT AND THAT JUBA SELECTED UNSUITABLE INVESTMENTS FOR THEM BASED ON THEIR RISK PROFILE. Damage Amount Requested: $125,374.00 Settlement Amount: $8,000.00 Broker Comment: CLIENT INSISTED ON A VERY SPECULATIVE APPROACH DURING THE LATE 90'S. HE WAS ELATED WITH THE RESULTS UNTIL THE MARKET TURNED IN MARCH 2000. AN OFFER OF $8000 TO "GO AWAY" WAS OFFERRED FROM THE CUSTOMERS ATTORNEY. THE FIRM MADE A BUSINESS DECISION TO SETTLE RATHER THAN RUN UP MORE IN ATTORNEY COSTS. CUSTOMER SUBSEQUENTLY SOUGHT OUT JUBA AND APOLOGIED PORFUSELY FOR HIS BEHAVIOR.
Date: February 27, 2002 Category: Customer Dispute Allegations: CUSTOMER COMPLAINED OF TWO UNAUTHORIZED TRADES IN APRIL AND JUNE 2000 WITH A TOTAL COST OF $10,717.00. COMPANY WAS GATT AND HAS SINCE GONE OUT OF BUSINESS. Damage Amount Requested: $10,717.00 Settlement Amount: $10,717.00
Date: October 18, 1975 Category: Customer Dispute Allegations: EXCESSIVE ACTIVITY & UNSUITABLERECOMMENDATIONS (ALLEGED) $14,504.16 (CLAIMED) Damage Amount Requested: $14,504.16 Damages Granted: $1,600.00 Broker Comment: I WAS TOLD THAT RAUSCHER PIERCE SECURITIES CORP.PAID $1600.00. I WAS NOT TOLD TO WHOM IT WAS PAID, NOR WHETHERIT WAS AN AWARD OR LEGAL COSTS.Not Provided
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for RICHARD FRANCIS JUBA, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.