Tom F. Engelhardt is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 301 EAST FRONT AVENUE, SUITE 104, BISMARCK, ND, 58504.
Tom F. Engelhardt has worked at EDWARD JONES since February 07, 1996
Disclosure History
Tom F. Engelhardt has 1 Disclosure Event(s).
Date: June 06, 2002 Category: Customer Dispute Allegations: CLIENT BELIEVES THAT IR INVESTED MONEY IN HIGH RISK INVESTMENTS WITH A LACK OF DIVERSIFICATION AND INVESTMENTS THAT WERE NOT SUITABLE FOR A TAX DEFERRED ACCT. CLIENT ALSO STATES IR DID NOT TAKE STEPS TO MINIMIZE HIS LOSSES. THE CLIENT'S COMPLAINT FOCUSES ON LUCENT, WORLDCOM, SCHERING PLOUGH CORP AND GATEWAY INC., ALL OF WHICH THE CLIENT PURCHASED IN 1999. CLAIMS LOSSES TO BE $67,147.00 SINCE 1999 AND REQUESTS TO BE REIMBURSED FOR THIS AMOUNT. Damage Amount Requested: $67,147.00 Broker Comment: PORTFOLIO WAS BALANCED WITH A VARIETY OF JONES RECOMMENDED INVESTMENTS (STOCKS, BONDS AND MUTUAL FUNDS). THE FOUR STOCKS THAT CLIENT STATED AS HIS FOCUS WERE ALL SOLD AS JONES' RECOMMENDATIONS AND IN GOOD FAITH. EXPLAINED THAT THE RECENT EVENTS SURROUNDING THE TELECOM INDUSTRY WERE UNFORESEEN IN 1999 WHEN THESE PURCHASES WERE MADE. THESE FOUR STOCKS REPRESENT LESS THAN 5% OF CLIENTS HOLDINGS AT JONES. CLAIM DENIED
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