ROBERT THOMAS LAMB is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 2506 SERENITY CIRCLE N, FORT PIERCE, FL, 34981.
ROBERT THOMAS LAMB has worked at CETERA ADVISORS LLC since November 02, 2017
Disclosure History
ROBERT THOMAS LAMB has 3 Disclosure Event(s).
Date: August 15, 2013 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT INVESTMENTS IN MUNICIPAL BOND UIT'S IN JANUARY 2012 WERE UNSUITABLE AND SOUGHT RECOVERY FOR DECLINE IN VALUE THAT OCCURRED IN MAY AND JUNE 2013. Damage Amount Requested: $21,712.00 Settlement Amount: $9,000.00
Date: July 11, 2013 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT INVESTMENT IN BOND UITS IN JANUARY 2013 WAS UNSUITABLE AND SOUGHT RECOVERY FOR DECLINE IN VALUE THAT OCCURED IN MAY AND JUNE 2013. Damage Amount Requested: $12,500.00
Date: May 31, 2013 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT INVESTMENT IN BOND UIT'S IN SEPTEMBER 2012 WAS UNSUITABLE AND SOUGHT RECOVERY FOR DECLINE IN VALUE IN MAY AND JUNE 2013. Damage Amount Requested: $18,674.30 Settlement Amount: $18,674.30 Broker Comment: COMPLAINT WAS SETTLED TO AVOID THE TIME AND EXPENSE OF FURTHER PROCEEDINGS. THE DECLINE IN VALUE RESULTED FROM THE UNEXPECTED DECLINE IN THE BOND MARKET.
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