Thomas Matthew Kliethermes is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 419 FAIRMONT AVENUE SUITE 2, FAIRMONT, WV, 26554.
Thomas Matthew Kliethermes has worked at EDWARD JONES since September 24, 1987
Disclosure History
Thomas Matthew Kliethermes has 1 Disclosure Event(s).
Date: March 29, 2004 Category: Customer Dispute Allegations: THE CLIENTS ALLEGE THEY WANTED ONLY THE INTEREST AND DIVIDENDS FROM THE ACCOUNT PAID TO THEM. THE CLIENTS ALLEGE THE IR PAID OUT FROM THE MONEY MARKET AND FNMA PRINCIPAL INSTEAD OF ONLY INTEREST AND DIVIDEND INCOME FROM THE ACCOUNT. THE CLIENTS ALSO ALLEGE THE IR BOUGHT VAN KAMPEN FUNDS WITH MONEY MARKET FUNDS INSTEAD OF INCREASING THE XON HOLDINGS. THE CLIENTS ALLEGE THEY LOST OVER $17,000. Damage Amount Requested: $17,000.00 Broker Comment: THE IR STATES HE RECOMMENDED THE CLIENT REDUCE THE XOM HOLDINGS. THE IR STATES HE DISCUSSED THE VAN KAMPEN FUNDS AND THE CLIENT AUTHORIZED THE PURCHASES. THE IR ADMITTED HE OVERPAID A MONTHLY CHECK TO THE CLIENT THAT INCLUDED SOME FNMA PRINCIPAL, BUT THE IR ALSO STATED THAT HE DISCLOSED TO THE CLIENT THE POSSIBILITY OF PRINCIPAL RETURN FROM THE FNMA. CLAIM DENIED.
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