WILLIAM ERNEST STOCKUM is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 100 CRESCENT COURT, SUITE 1500, DALLAS, TX, 75201-1871.
WILLIAM ERNEST STOCKUM has worked at RBC CAPITAL MARKETS, LLC since October 10, 2017
Disclosure History
WILLIAM ERNEST STOCKUM has 2 Disclosure Event(s).
Date: April 28, 2009 Category: Customer Dispute Allegations: CUSTOMER CLAIMS FINANCIAL ADVISOR BOUGHT BONDS AND STOCKS WITHOUT AUTHORIZATION. NO SPECIFIC DATE(S) PROVIDED. Damage Amount Requested: $200,000.00
Date: March 06, 2005 Category: Customer Dispute Allegations: CLIENT CLAIMS THAT FORMER BROKER "SPECIFICALLY STATED (THAT THE UAL BONDS) WERE BACKED BY THE CITY OF CHICAGO. I NEVER EVER WOULD HAVE INVESTED IF HE HAD TOLD ME THE TRUE (SIC) THAT THEY WERE IN FACT BACKED BY UNITED AIRLINES!" TIME PERIOD IS NOT SPECIFIED. Damage Amount Requested: $100,000.00
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