Robert John Shade is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 3300 BATTLEGROUND AVE STE 300, GREENSBORO, NC, 27410.
Robert John Shade has worked at EDWARD JONES since October 13, 2000
Robert John Shade has 2 Disclosure Event(s).
Date: July 20, 2007 Category: Customer Dispute Allegations: CLIENT IS QUESTIONING THE SUITABILITY OF THE INSURANCE POLICY THE FA RECOMMENDED IN MARCH 2004. CLIENT STATES SHE HAS MET WITH A COMPETING FA AND HE INFORMED HER THAT SHE DID NOT HAVE ENOUGH INCOME TO WARRANT ANY PURCHASE OF LIFE INSURANCE. CLIENT INDICATES SHE HAS PUT $80,000 INTO THE POLICY AND THE SURRENDER VALUE IS WORTH ONLY $13,000. Damage Amount Requested: $67,000.00 Broker Comment: ACCORDING TO FA, AFTER RECEIVING CLIENT'S INITIAL LETTER, HE MET WITH HER ON JULY 24, 2007 TO REVIEW HER CONCERNS. FA HAS INDICATED DURING THIS DISCUSSION HE EXPLAINED WHY HE HAD INITIALLY RECOMMENDED THE HARTFORD LIFE INSURANCE POLICY AND HE ADDRESSED CLIENT'S CONCERNS TO HER SATISFACTION. BASED ON MY REVIEW OF CLIENT'S ADDITIONAL CORRESPONDENCE DATED JULY 25, 2007, SHE HAS MADE THE DECISION TO CONTINUE WORKING WITH THE FA AND SHE IS REVIEWING PREMIUM PAYMENT OPTIONS FOR THIS LIFE POLICY.
Date: February 01, 1996 Category: Customer Dispute Allegations: CLAIMANT ALLEGED THAT PLM EQUIPMENT GROWTHFUND IV WAS MISREPRESENTED. Damages Granted: $10,000.00 Broker Comment: A SINGLE ARBITRATOR WAS SELECTED TO REVIEW THISMATTER, AND DETERMINED IN FULL AND FINAL RESOLUTION OF THEISSUES TO AWARD THE CLAIMANTS $10,000 IN DAMAGES. BOTH PARTIESSHALL BEAR THEIR RESPECTIVE COSTS AND ATTORNEYS FEES.NO WAY SHOULD THE CLAIMANT HAVE WON THIS CLAIM.THE CLAIMANTS WERE UPSET BECAUSE THE PLM PARTNERSHIP DID NOTLIVE UP TO THEIR EXPECTATIONS OR DESIRES. MY PRESENTATION WASIN ACCORDANCE WITH THE RECOMMENDED JCB PARTNERSHIP SCRIPT. APROSPECTUS WAS INCLUDED. THE CLAIMANTS WERE LITERATE AND WERENOT PRESSURED INTO PURCHASING THE PRODUCT. THE "EXHIBIT A"PIECE THAT PRECIPITATED THE AWARD WAS NOT PREPARED BY ME NOR DOI KNOW HOW IT WAS OBTAINED BY THEM. FURTHERMORE, MY OFFICEMANAGER ( IN A LETTER TO HIS SUPERVISOR) INDICATED THAT I WASNOT GUILTY OF ANY WRONGDOING AND THAT I AM NOT LIABLE FORPARTNERSHIP PERFORMANCE.
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 Robert John Shade, click here.
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.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.
How to choose a broker or investment adviser. Learn More