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DID NOT DISCLOSE OUTSIDE BUSINESS AND THE PERSONAL AND CORPORATE BANKRUPTCIES.
Broker Comment
I FILED A U4 WITH GRANT BETTINGEN(GBI)ON 3/18/98. GBI'S FIRST CONTACT WITH ME WAS ON 2/4/99. GBI AGREED TO FILE A U5 AFTER I PAID $734.50. INVOICE WAS PAID ON 2/9/99. I DISCOVERED ON 5/2000 THAT THE U5 WAS NOT FILED AND REQUESTED IT AGAIN ON 6/30/00. GBI DEMANDED $5000 FOR U5. I REFUSED TO PAY AND DEMANDED THEY FILE MY U5 PURSUANT TO NASD CONDUCT RULE 3010(F) AGAIN ON 3/12/01. U5 WAS FILED WITH DEROGETORIES ON 3/28/01.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.