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NOT CURRENTLY LICENSED WITH THE DIVISION AS A REPRESENTATIVE OF AN INVESTMENT ADVISER, YET HELD HIMSELF OUT AS SUCH AS TIMES
Resolution
Consent
Sanctions
RESPONDENT WILL APPLY FOR LICESNING AS AN INVESTMENT ADVISER REPRESENTATIVE PRIOR TO 12/31/2009
Broker Comment
WITHOUT NEITHER ADMITTING OR DENYING THE ALLEGATIONS OF THE DIVISION, RESPONDENT ENTERED INTO THE ADMINISTRATIVE CONSENT ORDER.
6/1/2009
Customer Dispute
Settled
Allegations
In April 2009 a suit was filed in Clark County District Court in Las Vegas, Nevada by [REDACTED] and family alleging irregularities in the sale of Stock in PCMC.
This was regarding a Trust Account, but no Mismanagement of the Trust Account was found.
Damage Amount Requested
$500,000.00
Settlement Amount
$800,000.00
Broker Comment
The settlement related to a series of cases, including counterclaims, and payment was through a life insurance policy, not personal funds.
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.
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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.