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1) ARS CODE 28-3478, DRIVERS LICENSE VIOLATION. CLASS 2 MISDEMEANOR. PLEA OF GUILTY.
2) ARS CODE 28-1381 A(1), D.U.I. CLASS 1 MISDEMEANOR. PLEA OF GUILTY. TEMPE MUNICIPAL COURT.
2) ARS CODE 28-1381 A(1). D.U.I. CLASS I MISDEMEANOR. 9/24/01 PLEAD GUILTY TO ARS CODE 28-1381 A(1). IN MY PLEA AGREEMENT THE FOLLOWING CHARGES WERE DISMISSED ARS 28-7291, ARS 28-1381 A(2), & ARS 28-1382 A. TEMPE MUNICIPAL COURT
Charge Type
MISDEMEANOR
Disposition
1)ARS CODE 28-3478, DRIVERS LICENSE VIOLATION A. PLEA OF GUILTY OR RESPONSIBLE; SENTENCE IMPOSED B. 08/07/1999 C. PAID $100.00 FINE D. CASE TERMINATED F. $100.00 G. PAID 09/01/1999
2) ARS CODE 28-1381 A(1) CLASS 1 MISDEMEANOR. D.U.I. A. PLEA OF GUILTY B. 9/24/01 C. 3-24 HOUR PERIODS IN TEMPE JAIL (OCT. 14, 16, & 21), AND PAID TEMPE MUNICIPAL COURT $478.00 IN FINES. I WAS ORDERED TO COMPLETE A SUBSTANCE ABUSE SCREENING WHICH LEAD ME TO 36 HOURS OF SUBSTANCE ABUSE CLASSES THAT I COMPLETED SUCCESSFULLY.
Broker Comment
1) DIVERS LICENSE VIOLATION A.K.A. USING A FAKE I.D. TO GET INTO A BAR.
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
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.