ANNE MARIE PERRY is currently employed as a Broker and/or Investment Adviser at FIRST FINANCIAL EQUITY CORPORATION located at 5619 DTC PARKWAY, SUITE 1050, TERRACE TOWER, GREENWOOD VILLAGE, CO, 80111.
ANNE MARIE PERRY has worked at FIRST FINANCIAL EQUITY CORPORATION since December 15, 2014
ANNE MARIE PERRY has 2 Disclosure Event(s).
Date: January 15, 2009 Category: Customer Dispute Allegations: THE COMPLAINT AROSE OUT OF THE SALE OF AN AUCTION RATE SECURITY (ARS) THAT WAS MADE PRIOR TO THE WIDESPREAD ILLIQUIDITY IN THE ARS MARKET THAT OCCURRED IN FEBRUARY 2008. ACTIVITY DATE(S): 3/12/2007 Settlement Amount: $300,000.00 Broker Comment: THE FIRM REPURCHASED THE ARS SECURITIES AT ISSUE FROM THE CLIENT PURSUANT TO A GLOBAL REPURCHASE AGREEMENT IT ENTERED WITH SEVERAL REGULATORY BODIES. THIS WAS NOT A TRADITIONAL SETTLEMENT OF A DISPUTE BETWEEN THE CLIENT AND THE REPRESENTATIVE. THE NAMED REPRESENTATIVE: WAS NOT A PARTY TO, AND DID NOT AGREE TO OR PARTICIPATE IN, THE REPURCHASE AGREEMENT BETWEEN THE FIRM AND REGULATORS; THE NAMED REPRESENTATIVE DID NOT MAKE ANY PAYMENTS TO THE CLIENT; AND THE NAMED REPRESENTATIVE WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE REPURCHASE AMOUNT. THIS MATTER IS BEING REPORTED AS A SETTLEMENT PURSUANT TO THE REQUIREMENTS OF FINRA REGULATORY NOTICE 09-12.
Date: September 26, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT REP ASSURED HER THAT BONDS PURCHASED IN ACCOUNT IN DEC 2007 WERE BACKED BY U.S. GOVERNMENT. CLIENT HAS LOST OVER $325,000. Damage Amount Requested: $325,000.00 Broker Comment: IN DEC 2008, CLIENT AND I BOUGHT 160K OF PREFERRED STOCK. SHE WANTED INCOME AND THE "QUALIFIED DIVIDEND/15%" WE BOUGHT 40K EACH OF FNMA, FREDDIE MAC, ROYAL BANK OF SCOTTLAND AND BARCLAYS. ABOUT 3% OF HER ESTIMATED NET WORTH. WE DISCUSSED THE SHARE PRICE FLUCTUATING BUT THE DIVIDEND REMAINING CONSTANT AND PAYING QTRLY. WE HAD MANY LUNCHES AND PHONE CONVERSATIONS DISCUSSING THE DETERIORATION OF THE CREDIT MARKETS. WE OFTEN DISCUSSED SELLING HALF THE POSITIONS TO HARVEST A TAX LOSS. CLIENT DECIDED TO "STAY THE COURSE" ON 9/8/08, THE TREASURY SECRETARY ANNOUNCED THE GOVERNMENT WOULD TAKE OVER THE 2 GOVERNMENT SPONSORED ENTITIES BY INJECTING 200 BILLION. WALL STREET CHEERED; HOWEVER, THEY DECIDED TO SUSPEND THE DIVIDEND ON THE PREFERRED STOCK CLIENT OWNED. ALONG WITH 38 BILLION OF OTHER STUNNED INVESTORS, INCLUDING BANKS AND OTHER INSTITUTIONAL INVESTORS. THIS DROVE THE SHARE PRICE DOWN DRAMATICALLY. THIS JOLTED THE ENTIRE PREFERRED MARKET AND FINANCIALS AROUND THE WORLD HAVE BEEN TUMBLING EVER SINCE. THIS WAS AA RATED BY THE AGENCIES. I'M NOT SURE WHERE CLIENT FEELS RESTITUTION OF 325K IS AN ACCURATE NUMBER WHEN SHE HAD ONLY AN 80K INVESTMENT IN THESE TWO UNFORTUNATE INVESTMENTS TO BEGIN WITH. ALL PERTINENT INFORMATION WAS PASSED ONTO CLIENT IN A TIMELY MANNER. I RECOMMEND INVESTMENTS BASED ON AN INDIVIDUALS RISK TOLERANCE, LIQUIDITY NEEDS, TIME HORIZON AND NET WORTH.
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