RONALD LOU FRITZE

RONALD LOU FRITZE is currently employed as a Broker and/or Investment Adviser at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located at 2700 HIGHWAY 280 S, STE 245E, MOUNTAIN BRK, AL, 35223.

RONALD LOU FRITZE has worked at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC since April 16, 2009

Disclosure History

RONALD LOU FRITZE has 2 Disclosure Event(s).

Date: October 09, 2013
Category: Customer Dispute
Allegations: TIME FRAME: 2000 - 2009. CLIENT ALLEGES THAT FA IGNORED HER EXPRESSED DIRECTIVES TO INVEST IN 100% SECURE VEHICLES SUCH AS ZERO COUPON TREASURY BONDS, WITH A REINVESTMENT OF DIVIDENDS INTO SIMILAR TYPE INVESTMENT VEHICLES. TIME FRAME: 2000 - 2009.

Date: January 26, 2001
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGE THAT DURING 1999 AND 2000, FRITZE FAILED TO PREVENT ILLEGAL ACTIVITY OF A BROKER AND FAILED TO SUPERVISE THE BROKER'S ACTIVITIES. COLLECTIVELY, CLIENTS CLAIM LOSSES OF $399,379.
Damage Amount Requested: $399,379.00
Broker Comment: CLIENTS SAY THAT NAMING MR. FRITZE IN THE DRAFT STATEMENT OF CLAIM WAS DONE IN ERROR AND THAT MR. FRITZE SHOULD NOT AND WILL NOT BE MADE A RESPONDENT IN ANY CLAIMS INVOLVING THESE CLIENTS.

More Information

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