STEVEN ALVIN HOUSMAN

STEVEN ALVIN HOUSMAN is currently employed as a Broker and/or Investment Adviser at D.A. DAVIDSON & CO. located at 16130 VENTURA BLVD, SUITE 460, ENCINO, CA, 91436.

STEVEN ALVIN HOUSMAN has worked at D.A. DAVIDSON & CO. since November 25, 2013

Disclosure History

STEVEN ALVIN HOUSMAN has 2 Disclosure Event(s).

Date: February 13, 2001
Category: Customer Dispute
Allegations: UNSUITABLE RECOMMENDATIONS,BREACHING OF FIDUCIARY DUTY,MISREPRESENTATION.VALUE OF SECURITIES THAT WERE PURCHASED BETWEEN 12/98 AND 12/2000 DECLINED.
Damage Amount Requested: $88,424.00
Settlement Amount: $38,000.00
Broker Comment: TO AVOID LENGHTY AND COSTLY ARBITRATION PROCEDINGS THE CASE WAS SETTLED FOR $38000.00.

Date: December 24, 1990
Category: Customer Dispute
Allegations: UNSUITABLE STOCK
Damage Amount Requested: $9,338.00 Damages Granted: $10,650.00
Broker Comment: DAMAGE 9,338.00 AWARD OF $10,500.00 IN DAMAGES,INCLUDING INTERESTSCLAIMANT, MR PERROTTI, WAS AN INFORMED INVESTORWHO DECIDED TO PURCHASE STOCK IN QUESTION AND UNDERSTOOD THERISK/REWARD FACTOR IN ALL INVESTMENTS. MR. PERROTTI WAS MYCLIENT FROM 1974. I HAVE BEEN A BROKER SINCE 1966 (27 YEARS)AND THIS IS THE ONLY PROBLEM I HAVE HAD.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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