STUART JAY KNOBEL is currently employed as a Broker and/or Investment Adviser at
CAPITOL SECURITIES MANAGEMENT, INC. located at 114 EAST BENSON, ANDERSON, SC, 29624.
STUART JAY KNOBEL has worked at
CAPITOL SECURITIES MANAGEMENT, INC. since January 25, 2019
Disclosure History
STUART JAY KNOBEL has 3 Disclosure Event(s).
Date: September 26, 2014 Category: Customer Dispute Allegations: CLIENT VERBALLY ALLEGED REGISTERED REPRESENTATIVE EXERCISED DISCRETION WITHOUT WRITTEN AUTHORIZATION. Damage Amount Requested: $100,000.00 Settlement Amount: $50,000.00
Date: August 29, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES BROKER MADE UNSUITABLE RECOMMENDATIONS REGARDING STOCK PURCHASES IN CLIENTS PROFIT SHARING PLAN. CLIENT ALSO ALLEGES THAT BROKER BREACHED HIS FIDUCIARY DUTY. Damage Amount Requested: $150,000.00 Settlement Amount: $7,500.00
Date: June 21, 1991 Category: Customer Dispute Allegations: UNSUITABLE INVESTMENT RECOMMENDATIONS, [CUSTOMERS] $103,736, [OTHER CUSTOMER NAMED] $10,000. Damage Amount Requested: $113,736.00 Settlement Amount: $52,500.00 Broker Comment: NOT PROVIDEDA CLIENT WHO INVESTED IN SEVERAL DIRECTPARTICIPATION PROGRAMS IN 1983 FILED A COMPLAINT IN 1991 THATTHESE INVESTMENTS WERE UNSUITABLE FOR THEIR INVESTMENTOBJECTIVES.
More Information
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