Richard D Lambert

Richard D Lambert is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 12234 SHADOW CREEK PKWY, BUILDING 4 SUITE 100, PEARLAND, TX, 77584-7330.

Richard D Lambert has worked at EDWARD JONES since September 29, 2015

Disclosure History

Richard D Lambert has 1 Disclosure Event(s).

Date: January 14, 2017
Category: Customer Dispute
Allegations: The client alleges the financial advisor gave poor advice in December 2016 to roll over a retirement account that resulted in the client forfeiting matching funds from his employer.
Damage Amount Requested: $5,000.00
Settlement Amount: $76,020.00
Broker Comment: After completion of the firm's investigation, client's claim was resolved in the amount of $76,520.00. Financial advisor contributed to the resolution in the amount of $500.00.

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.

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