ALAN DUANE DOUGLASS

ALAN DUANE DOUGLASS is currently employed as a Broker and/or Investment Adviser at INVESTACORP, INC. located at 13575 58TH STREET NORTH, SUITE 189 BOX 102, CLEARWATER, FL, 33760.

ALAN DUANE DOUGLASS has worked at INVESTACORP, INC. since March 07, 1995

Disclosure History

ALAN DUANE DOUGLASS has 2 Disclosure Event(s).

Date: June 30, 2006
Category: Customer Dispute
Allegations: THE CLIENT CLAIMS SHE WAS NOT SUITABLE FOR THE INVESTMENTS HER LATE FATHER PURCHASED AND THEN TRANSFERED TO HER INDIVIDUAL ACCOUNTS.
Damage Amount Requested: $5,282.00

Date: March 15, 1993
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED THAT HE PURCHASED 1000SHARES OF REXON INC. ON FALSE PRETENSE AND MISREPRESENTATIONALLEGED DAMAGES: LOSS IN STOCK PRICE $5320.25, PAINEWEBBERSHORT ON FINAL CHECK $30.18; ARBITRATION ASSOC. FEE $300;PUNITIVE $24,679.75 $30,000 TOTAL
Damage Amount Requested: $5,023.25 Damages Granted: $3,000.00
Broker Comment: NASD ARBITRATION AWARDED CLAIMANT $3000.00.CLAIMANT'S REQUESTED FOR PUNITIVE DAMAGES WAS DENIED.NOT PROVIDED

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for ALAN DUANE DOUGLASS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.