TERRENCE PAUL WASSEL

TERRENCE PAUL WASSEL is currently employed as a Broker and/or Investment Adviser at CHARLES SCHWAB & CO., INC. located at 1991 SUMMIT PARK DRIVE, ORLANDO, FL, 32810.

TERRENCE PAUL WASSEL has worked at CHARLES SCHWAB & CO., INC. since May 28, 1999

Disclosure History

TERRENCE PAUL WASSEL has 2 Disclosure Event(s).

Date: March 09, 2017
Category: Regulatory

Date: October 15, 2003
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT, ALTHOUGH I CORRECTLY PLACED CERTAIN MUTUAL FUND SELL TRADES IN HIS ACCOUNT, I SUBSEQUENTLY FAILED TO PLACE RECOMMENDED BUY TRADES ON THREE DIFFERENT MUTUAL FUNDS. THIS ACTIVITY OCCURRED IN JUNE 2003.
Settlement Amount: $10,311.45

More Information

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.

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