STEVEN MARC BRAKMAN

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.

More Information

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