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
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
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