WILLIAM GREGORY ESCAMILLA

WILLIAM GREGORY ESCAMILLA is currently employed as a Broker and/or Investment Adviser at WILLIAM BLAIR located at THE WILLIAM BLAIR BUILDING, 150 NORTH RIVERSIDE, CHICAGO, IL, 60606.

WILLIAM GREGORY ESCAMILLA has worked at WILLIAM BLAIR since May 14, 2004

Disclosure History

WILLIAM GREGORY ESCAMILLA has 2 Disclosure Event(s).

Date: May 28, 2004
Category: Customer Dispute
Allegations: CLIENT OF REGISTERED REPRESENTATIVE'S FORMER FIRM ALLEGES MR. ESCAMILLA DID NOT DISCUSS BREAKPOINTS OR DISCLOSE FEES ASSOCIATED WITH MUTUAL FUNDS PURCHASED IN HIS ACCOUNTS.
Damage Amount Requested: $25,000.00
Settlement Amount: $14,000.00

Date: January 21, 2000
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE IR SOLD CLIENT'S ENTIRE POSITION OF TERAYON COMMUNICATION SYSTEMS WITHOUGH PRIOR DISCUSSION AND AUTHORIZATION.
Settlement Amount: $12,453.00
Broker Comment: ALTHOUGH MR. ESCAMILLA BELIEVED HE HAD DISCUSSED THE TRANSACTION IN QUESTION WITH THE CLIENT,THE BRANCH OFFICE MANAGER DECIDED TO RESTORE ONE HALF OF CLIENT'S INITIAL POSITION IN TERAYON COMMUNICATION SYSTEMS.

More Information

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