ARTHUR BURING is currently employed as a Broker and/or Investment Adviser at STEPHENS located at 6075 POPLAR AVENUE, CRESCENT CENTER, MEMPHIS, TN, 38119.
ARTHUR BURING has worked at STEPHENS since January 23, 2012
Disclosure History
ARTHUR BURING has 2 Disclosure Event(s).
Date: January 24, 2012 Category: Customer Dispute Allegations: CLIENT CLAIMS, INTER ALIA, THAT FINANCIAL ADVISOR MADE MISREPRESENTATIONS REGARDING A STRUCTURE PRODUCT PURCHASED IN 2011. Damage Amount Requested: $11,022.69 Settlement Amount: $6,500.00
Date: March 05, 1998 Category: Customer Dispute Allegations: ALLEGED FAILURE TO FOLLOW INSTRUCTIONS; ALLEGED DAMAGES UNSPECIFIED INVESTMENT PRODUCTS INVOLVED Settlement Amount: $24,619.06 Broker Comment: SETTLED FOR $24,619.07 WITH NO ADMISSION OFWRONGDOING ON THE PART OF ARTHUR BURING OR MORGAN KEEGAN.SETTLEMENT MADE IN CONSIDERATION OF LENGTH OFBUSINESS RELATIONSHIP WITH CLIENT AND TO MITIGATE ANTICIPATEDLEGAL COST OF DEFENDING POTENTIAL CLAIMS. I DENY ALLALLEGATIONS OF WRONGDOING.
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 ARTHUR BURING, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.