STEPHEN GEORGE HARVEY is currently employed as a Broker and/or Investment Adviser at COMMONWEALTH FINANCIAL NETWORK located at 119 Oronoco Street, Suite 102, ALEXANDRIA, VA, 22314.
STEPHEN GEORGE HARVEY has worked at COMMONWEALTH FINANCIAL NETWORK since April 29, 2005
Disclosure History
STEPHEN GEORGE HARVEY has 2 Disclosure Event(s).
Date: February 11, 2003 Category: Customer Dispute Allegations: UNSUITABILITY OF INVESTMENTS, MISMANAGEMENT, FAILURE TO SUPERVISE, CHURNING, UNAUTHORIZED TRADING, FRAUD, MISREPRESENTATION. Damage Amount Requested: $600,000.00 Settlement Amount: $77,500.00 Broker Comment: AS PART OF SETTLEMENT STEPHEN HARVEY WAS DISMISSED FROM THE CASE AND AN EXPUNGEMENT WAS AGREED TO.
Date: August 09, 1991 Category: Customer Dispute Allegations: SUITABILITY, BREACH OF FIDUCIARY DUTY. DAMAGES SOUGHT $15,138.75 Damage Amount Requested: $15,138.75 Damages Granted: $9,464.65 Broker Comment: RESPONDENT SHEARSON LEHMAN BROS INC. IS LIABLEAND SHALL PAY TO THE CLAIMANT THE SUM OF $3,570.62 INTERESTSPECIFICALLY EXCLUDED. RESPONDENT STEVE HARVEY SHALL PAY TO THECLAIMANT $5,894.03 INTEREST SPECIFICALLY EXCLUDED. CLAIMANTSREQUEST FOR PUNITIVE DAMAGES IS DENIED AND CLAIMANT'S MOTION TOBAR A DEFENSE IS DENIED.
More Information
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