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[CUSTOMER] ALLEDGED THAT I FAILED TO FOLLOW HIS INSTRUCTION AND REALLOCATE HIS FUNDS IN A TIMELY MANNER. ON JULY 26,2005, PFSI INVESTMENTS INC. OFFERED SETTLE THE CUSTOMER'S COMPLAINT, AS A GESTURE OF GOODWILL, FOR 30,000. I WAS NOT ASKED TO PARTICIPATE IN THE SETTLEMENT WITH THE CLIENT.
Damage Amount Requested
$32,738.00
Settlement Amount
$30,000.00
Broker Comment
AFTER INVESTIGATING [CUSTOMER'S] ALLEGATIONS, PFS INVESTMENT INC DETERMINED THAT I HAD PROCESSED [CUSTOMER'S] REQUEST IN A TIMELY MANNER.
3/31/1971
Criminal
Final Disposition
Charges
A. LOITER ON POST COUNT (1), MISDEMEANOR, GUITLY, N/A (ARTICLE 134) B. DISREPECTFUL IN LANGUAGE COUNT (2), MISDEMEANOR, NOT GUILTY, N/A (ARTICLE 91) C. ASSAULT UPON TECHNICAL SERGEANT COUNT (3), FELONY, NOT GUILTY, N/A (ARTICLE 128) 4. WILLFUL DISOBEDIENCE COUNT (1) MISDEMEANOR, GUILTY, N/A (ARTICLE 91)
Charge Type
FELONY
Disposition
1.(A) CONVICTED LOITER ON POST, WILLFUL DISOBEDIENCE (B) 6-3-71 (C) REDUCED TO GRADE LEVEL E-2, FINED $78 PER MONTH FOR 2 MONTHS, (D) N/A (E) N/A (F) N/A (G) N/A 2. DISMISSED DISREPECTFUL IN LANGUAGE, ASSAULT UPON SERGEANT (B) 6/3/71 (C)N/A (D) N/A (E) N/A (F) N/A (G) N/A
Broker Comment
I HAD A NEW SUPEVISOR COME TO ALASKA TO MY BASE AND FOR SOME REASON HE WAS ALWAYS OR AT TIMES AFTER ME ABOUT SOMETHING AND HE SAID I POINTED MY WEAPON AT HIM. IT WAS NOT TRUS.
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IA
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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.