Stephen D. Thompson is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 1467 HWY 62/412, CHEROKEE VILLAGE, AR, 72529.
Stephen D. Thompson has worked at EDWARD JONES since November 05, 1996
Disclosure History
Stephen D. Thompson has 1 Disclosure Event(s).
Date: February 24, 2003 Category: Customer Dispute Allegations: CLIENTS, WHO INITIALLY INVESTED WITH FIRM IN 1996, CLAIM THEY DID NOT RECEIVE THE APPROPRIATE ADVICE FROM THE IR TO MOVE INVESTMENTS TO REFLECT CURRENT MARKET CONDITIONS. AS A RESULT, CLIENTS CLAIM THEY INCURRED MORE LOSSES THAN THEY SHOULD HAVE IF THE IR HAD BEEN CONCERNED ABOUT THEIR PORTFOLIO. CLAIM EXCEEDS $5,000 Damage Amount Requested: $5,000.00 Broker Comment: ACCORDING TO THE IR, HE WAS IN CONTACT WITH CLIENTS ON MANY OCCASIONS TO TALK ABOUT THEIR ACCOUNT AND MARKET CONDITIONS. IR STATED THAT CLIENTS WERE TAKING WITHDRAWALS FROM THE ACCOUNT, WHICH ALONG WITH RECENT MARKET CONDITIONS EXPLAINS THE DECLINE IN THE VALUE OF THE CLIENTS' ACCOUNT. CLAIM DENIED.
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