TERESA MARIE OCLAIR is currently employed as a Broker and/or Investment Adviser at CAPITAL FINANCIAL SERVICES, INC. located at 418 E. ROSSER AVE. SUITE #350, BISMARCK, ND, 58501.
TERESA MARIE OCLAIR has worked at CAPITAL FINANCIAL SERVICES, INC. since July 28, 2004
Disclosure History
TERESA MARIE OCLAIR has 4 Disclosure Event(s).
Date: June 01, 2017 Category: Customer Dispute Allegations: Client alleges misrepresentation regarding commission for liquidating a Reit. Damage Amount Requested: $6,500.00
Date: February 09, 2016 Category: Customer Dispute Allegations: Client is upset with the length of time to process a transfer also client is upset about Reit value. Damage Amount Requested: $53,207.00
Date: November 09, 2015 Category: Customer Dispute Allegations: Lawsuit against entities and individuals involved with DBSI investments. Damage Amount Requested: $2,160,495.18 Settlement Amount: $200,000.00 Broker Comment: This needed to be corrected as this individual is a named respondent.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for TERESA MARIE OCLAIR, click here.
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