STEVEN MARC BRAKMAN is currently employed as a Broker and/or Investment Adviser at CHARLES SCHWAB & CO., INC. located at 995 MERIDIAN BLVD, SUITE 100, FRANKLIN, TN, 37067-6398.
STEVEN MARC BRAKMAN has worked at CHARLES SCHWAB & CO., INC. since August 30, 1999
Disclosure History
STEVEN MARC BRAKMAN has 2 Disclosure Event(s).
Date: July 16, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGES POOR RECOMMENDATION/POOR ADVICE WITH REGARDS TO THE CIT GROUP INC. 7.0%12 INTERNOTES DUE 12/15/12. Damage Amount Requested: $59,000.00
Date: April 02, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABLE RECOMMENDATION REGARDING A MUTUAL FUND PURCHASED ON 6/21/07 & 6/25/07. Damage Amount Requested: $65,747.22 Settlement Amount: $85,000.00 Broker Comment: THE FIRM SETTLED THE COMPLAINT TO AVOID THE COST AND UNCERTAINTY OF LITIGATION, WITH NO ADMISSION OF WRONGDOING AND NO MONETARY CONTRIBUTION FROM THE REPRESENTATIVE.
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