ANTHONY JOSEPH SEARCY is currently employed as a Broker and/or Investment Adviser at SIGNATOR INVESTORS, INC. located at 9150 SOUTH HILLS BLVD, SUITE 200, BROADVIEW HEIGHTS, OH, 44147.
ANTHONY JOSEPH SEARCY has worked at SIGNATOR INVESTORS, INC. since August 21, 2008
Disclosure History
ANTHONY JOSEPH SEARCY has 2 Disclosure Event(s).
Date: August 10, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGES EXCESSIVE AND IMPROPER TRADING DURING THE PERIOD MAY 1994 THROUGH NOVEMBER 2000 Damage Amount Requested: $80,000.00 Settlement Amount: $30,000.00
Date: November 13, 2000 Category: Employment Separation After Allegations Firm Name: MORGAN STANLEY DEAN WITTER Termination Type: Discharged Allegations: CUSTOMER'S ORAL COMPLAINT ON TRADING Broker Comment: CUSTOMER COMPLAINT TO MANAGER ABOUT A TRADE.AS WORDED ON THE U5: "TERMINATED AFTER REVIEW TRIGGERED BY ADMISSION OF UNAUTHORIZED TRANSACTIONS AFTER ORAL CUSTOMER COMPLAINT."
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 ANTHONY JOSEPH SEARCY, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.