ANTON RANDAL BURCH is currently employed as a Broker and/or Investment Adviser at BURCH & COMPANY, INC located at 4151 N. MULBERRY DRIVE, SUITE 235, KANSAS CITY, MO, 64116.
ANTON RANDAL BURCH has worked at BURCH & COMPANY, INC since April 05, 2000
Disclosure History
ANTON RANDAL BURCH has 3 Disclosure Event(s).
Date: May 23, 1996 Category: Customer Dispute Allegations: BOTH THE FIRM AND THE PRESIDENT WERE NAMEDALONG WITH REPRESENTATIVE. ALLEGATIONS WERE: AGENT TOOKCUSTOMER RECORDS, SUITABILITY, UNAUTHORIZED TRADES, FAILURE TOSUPERVISE. DAMAGES $30,000. MR BURCH HAS NEVER MEET OR TALKED TO THE CUSTOMERS. THE REPRESENTATIVE WAS TERMINATED FOR CAUSE WITH THE NASD. Damage Amount Requested: $30,000.00 Settlement Amount: $14,200.00 Broker Comment: N/A1. ACCOUNT WAS OPENED AND APPROVED FORSPECULATIVE AND SHORT TERM TRADING 2. ALL OPTION AND MARGINAGREEMENTS REFLECT SUITABILITY 3. ALL OPTION TRADES WERECOVERED WRITING AND ALL WERE PROFITABLE 4. THE LOSSES ARE IN PART DUE TO POSITIONS THAT WERE TRANSFERRED INTO BIRCHTREE IF THE CLAIMANT AND UNREALIZED LOSSES IN STOCK THAT WERETRANSFERRED OUT OF BIRCHTREE IF THE CLAIMANT STILL OWNS SUCHSECURITIES THE LOSS IS MUCH LESS THAN WHEN THE COMPLAINT FILED. ARBURCH WAS DISMISSED FROM CASE
Date: May 20, 1996 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING; ACCOUNT RELATED FAILURETO SUPERVISE; CHURNING; BREACH OF FIDUCIARY DT Damage Amount Requested: $25,000.00 Settlement Amount: $12,500.00 Broker Comment: 1. ACCOUNT WAS OPENED AND APPROVED FORSPECULATIVE AND SHORT TERM TRADING; 2. ALL OPTION AND MARGINAGREEMENTS REFLECT SUITABILITY; 3. ALL OPTION TRADES WERECOVERED WRITING AND ALL WERE PROFITABLE; 4. THE LOSSES WERE INPART DUE TO POSITIONS THAT WERE TRANSFERRED INTO BIRCHTREE ANDUNREALIZED LOSSES IN STOCKS THAT WERE TRANSFERRED OUT OFBIRCHTREE IF THE CLAIMANT STILL OWNS SUCH SECURITIES THE LOSSIS MUCH LESS THAN WHEN THE COMPLAINT WAS FILED.AR BURCH DID NOT PARTICIPATE IN SETTLEMENT AND WAS DISSMISSED.
Date: June 23, 1993 Category: Customer Dispute Allegations: SALE OF BONDS WITHOUT PROPER AUTHORIZATION Damage Amount Requested: $1,450.56 Damages Granted: $2,000.00 Broker Comment: $2,000.00 PAYMENTCUSTOMER WAS BANK, THEY SOLD THE BONDS AT ANOTHERBROKER/DEALER AND ASK US TO DELIVER THEM OUT, OUR RECORDS SHOWTHE PERSON MAKING THE REQUEST TOLD US TO SELL THE BONDS ALSORATHER THAN DELIVER OUT. THEY ENDED UP SHORT THE BONDS ATANOTHER FIRM. WE OFFERED TO SETTLE FOR $2,000 BEFORE THEARBITRATION.
More Information
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