VICTOR VARDELL OELSEN

VICTOR VARDELL OELSEN is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 303 PEARL PARKWAY, SUITE 380, SAN ANTONIO, TX, 78215-1285.

VICTOR VARDELL OELSEN has worked at RBC CAPITAL MARKETS, LLC since September 03, 2004

Disclosure History

VICTOR VARDELL OELSEN has 2 Disclosure Event(s).

Date: April 04, 2004
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT HIS ASSETS WERE IMPROPERLY INVESTED IN "C" MUTUAL FUND SHARES AND ALSO ONLY IN MORGAN STANLEY RELATED FUNDS.
Damage Amount Requested: $93,000.00
Broker Comment: MORGAN STANLEY AND MR. OELSEN DENY THE ALLEGATIONS IN THE COMPLAINT.

Date: July 30, 2002
Category: Customer Dispute
Allegations: CUSTOMER VERBALLY ALLEGES THAT STOCK MUTUAL FUND RECOMMENDED IN JUNE 2000 WAS UNSUITABLE.
Damage Amount Requested: $180,000.00
Settlement Amount: $43,750.00
Broker Comment: THIS VERBAL COMPLAINT WAS SETTLED SOLELY TO AVOID THE TIME AND EXPENSE OF LITIGATION, WITHOUT ANY ADMISSION OF ANY WRONGDOING.

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.

To view the full report for VICTOR VARDELL OELSEN, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.