Shelley Marie Moffatt

Shelley Marie Moffatt is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 221 S CENTURY AVENUE, WAUNAKEE, WI, 53597-1249.

Shelley Marie Moffatt has worked at EDWARD JONES since May 22, 1998

Disclosure History

Shelley Marie Moffatt has 2 Disclosure Event(s).

Date: April 11, 2006
Category: Customer Dispute
Allegations: CLIENT CLAIMS THE IR WAS TOLD TO TAKE HIM OUT OF THE MARKET WHILE HE WAS IN GUAM AND BECAUSE HE MAY BE GOING TO THE MIDDLE EAST. CLIENT HAS INDICATED THAT THE IR TALKED HIM IN NOT MOVING OUT OF THE MARKET AND THAT SHE WOULD WATCH HIS ACCOUNT. CLIENT IS ASKING FOR LOSSES THAT HE CLAIMS IS $80,000 TO $100,000.
Damage Amount Requested: $100,000.00
Broker Comment: ACCORDING TO THE IR THE CLIENT'S INITIAL PURCHASE WAS IN 1997. THE CLIENT WAS OUT OF THE COUNTRY ON SEVERAL NAVY SEAL EVENTS BUT ACCORDING TO NOTES ON THE SYSTEM THE IR WAS ABLE TO MAINTAIN SOME COMMUNICATION WITH THE CLIENT. BASED UPON OUR REVIEW IT APPEARS THAT THE LOSS IN PORTFOLIO IS DUE TO MARKET FLUCTUATION. COMPLAINT CLOSED. THE COMPLAINT WAS ORIGINALLY FILED AS A FIRM COMPLAINT WITH A POOR PERFORMANCE PROBLEM CODE. AFTER A JANUARY 2007 STATE EXAMINATION FROM THE STATE OF WA., THE EXAMINERS SUGGESTED THE COMPLAINT CODING BE CHANGED TO REFLECT A COMPLAINT AGAINST THE IR VS. FIRM. THE CODING WAS CHANGED WHICH TRIGGERED THE NEED TO FILE GIVEN THE ALLEGED LOSSES.

Date: April 18, 2001
Category: Customer Dispute
Allegations: THE CLIENT OPENED THREE ACCOUNTS WITH MOFFATT IN THE BEGINNING OF 2001. THE CLIENT STATES SHE BELIEVED ONLY A CERTAIN AMOUNT OF HER ASSETS WERE "AT RISK". THE CLIENTSTATES SHE DID NOT KNOW "EQUITIES" MEANT STOCKS. THE CLIENT CLAIMS MOFFATT HAS BEENGAMBLING WITH HER MONEY. THE CLIENTS ACCOUNT HAS AN UNREALIZED LOSS IN EXCESS OF$5,000.
Damage Amount Requested: $5,000.00
Broker Comment: WHEN THE CUSTOMER RECEIVED A LETTER INDICATING OUR FIRM HAD RECEIVED HER LETTER AND WAS INVESTIGATING THE COMPLAINT, SHE SENT A SECOND LETTER INDICATING SHE HAD MADE NO INQUIRY OF OUR FIRM AND DID NOT WANT THE SITUATION INVESTIGATED. A LETTER WAS SENT TO THE CUSTOMER ADVISING HER OF OUR OBLIGATIONS RELATED TO THE CUSTOMER COMPLAINTS. THE LETTER ALSO ADVISED THE CUSTOMER THAT MS. MOFFAT STATED SHE HAD MULTIPLE DISCUSSIONS WITH THE CUSTOMER AND REVIEWED THE RISKS AND FEATURES INVOLVED WITH EACH TRANSACTION. TRADES APPEAR TO HAVE BEEN ENTERED WITH THE CUSTOMER'S AUTHORIZATION AND UNDERSTANDING OF THE ASSOCIATED RISKS. CLAIM DENIED.

More Information

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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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