ROBERT WILLIAM STEPHENS is currently employed as a Broker and/or Investment Adviser at SIGMA FINANCIAL CORPORATION located at 14881 QUORUM DRIVE, SUITE 430, DALLAS, TX, 75254.
ROBERT WILLIAM STEPHENS has worked at SIGMA FINANCIAL CORPORATION since March 04, 2011
Disclosure History
ROBERT WILLIAM STEPHENS has 2 Disclosure Event(s).
Date: January 21, 2010 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: STARTING WITH THE MARKET UPHEAVAL IN 2008, FOLLOWED BY MY BROKER/DEALER BEING ACQUIRED BY A COMPANY WHO REDUCED OUR PAYOUTS, CAUSING MY SAVINGS TO BECOME DEPLETED. MY FILING WAS DUE TO DIMINISHED EARNINGS; NOT STOCK MARKET LOSSES, LIENS OR JUDGMENTS. I CONSULTED WITH MY BRANCH MANAGER AND COMPLIANCE BEFORE PROCEEDING.
Date: July 08, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT A NUMBER OF INDIVIDUALS INCLUDING PEOPLE WITH WHOM HE NEVER DEALT ARE RESPONSIBLE FOR DAMAGES IN AN UNSPECIFIED AMOUNT (BELIEVED TO BE LESS THAN $50000.00). Damage Amount Requested: $50,000.00 Settlement Amount: $35,000.00 Broker Comment: SETTLED.
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 ROBERT WILLIAM STEPHENS, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.