ARTHUR RICHARDS RULE is currently employed as a Broker and/or Investment Adviser at SPROTT ASSET MANAGEMENT USA INC. located at 1910 PALOMAR POINT WAY, SUITE 200, CARLSBAD, CA, 92008.
ARTHUR RICHARDS RULE has worked at SPROTT ASSET MANAGEMENT USA INC. since May 19, 1994
ARTHUR RICHARDS RULE is also currently employed as a Broker and/or Investment Adviser at RESOURCE CAPITAL INVESTMENT CORPORATION located at 1910 PALOMAR POINT WAYSUITE 200, CARLSBAD, CA, 92008 since January 01, 1970
ARTHUR RICHARDS RULE is also currently employed as a Broker and/or Investment Adviser at SPROTT GLOBAL RESOURCE INVESTMENTS LTD located at 595 BURRAND STREETSUITE 1703, THREE BENTALL CENTRE, VANCOUVER, V7X 1J1|1910 PALOMAR POINT WAYSUITE 200, CARLSBAD, CA, 92008 since January 01, 1970
ARTHUR RICHARDS RULE has 3 Disclosure Event(s).
Date: September 13, 2005 Category: Customer Dispute Allegations: RICK RULE ERRONEOUSLY BOUGHT 2,000 SHARES OF HEATING OIL PARTNERS ON 4-22-05 IN MR. [CUSTOMER]ACCOUNT. BY THE TIME MR. [CUSTOMER]MADE HIM AWARE OF THE ERROR ON 9-13-05 WHEN HE CALLED TO CLOSE HIS ACCOUNT, THE BROKER COULD NOT RECALL WHAT CLIENT HAD ORIGINALLY PLACED THE ORDER SO THE BUY WAS CANCELED DUE TO BROKER ERROR. Damage Amount Requested: $7,378.00 Settlement Amount: $7,378.00
Date: November 04, 1998 Category: Customer Dispute Allegations: CUSTOMER FILED A REQUEST FOR ARBITRATION WITH THE NASD ON THE ABOVE DATE WITHOUT PRIOR CONTACT TO OUR FIRM. MORE IMPORTANTLY, HE HAS NAMED US A RESPONDENT EVEN THOUGH HE IS A CLIENT OF GLOBAL STRATEGIC MANAGEMENT (GSM), THE CLIENT'S MONEY MANAGER. GLOBAL RESOURCE INVESTMENTS (GRI) IS SIMPLY THE CONDUIT THROUGH WHICH (GSM) PLACES THEIR ORDERS FOR THEIR CLIENTS. IT IS OUT INTENT, THROUGH OUTSIDE COUNSEL, TO HAVE OUR FIRM AND OUR CEO, A. RICHARDS RULE, REMOVED AS RESPONDENTS ON THIS ARBITRATION. Damage Amount Requested: $23,950.95 Settlement Amount: $2,500.00
Date: September 29, 1989 Category: Regulatory Initiated By: UPON APPLICATION FOR REGISTRATION IN MASS.BY MR RU*SEE FAQ #1* Allegations: TORREY PINES & MR. RULE SUPPLIED MASS. WITH ALIST OF ALL TRADES MADE IN MASS WHILE MR. RULE & TORREY PINESWERE NOT REGISTERED IN MASS., THE CONDITIONAL ORDER OR REG.STATES THAT THESE TRADE WERE CONDUCTED WHILE TORREY PINES WASNOT REGISTERED AS A BROKER/DEALER AS REQUIRED BY MASS LAW &SEVERAL SECURITIES SOLD WERE NOT REGISTERED OR EXEMPT UNDERMASS LAW. Resolution: Order SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $10,000.00 Broker Comment: MR. RULE WAS LICENSED IN MASS. W/HIS PRIORBROKER/DEALER & THE CLIENTS WERE ACTIVE PRIOR TO MR RULE'STRANSFER TO TORREY PINES. THE TRADES WERE ALL UNSOLICITED TOEXISTING CLIENTS OF MR RULE. MR RULE ACCEPTED TRADES PRIOR TOHIS RE-REGISTRATION & TORREY PINES REGISTRATION IN MASS. THEUNREGISTERED PRIVATE PLACEMENTS THAT WERE SOLD WERE ALSOUNSOLICITED TRANSACTIONS & THE SOLE PURCHASER WAS A SECURITIESATTORNEY WHO REPRESENTED TO MASS THAT HE WAS NOT AN AGGRIEVEDPARTY.
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 RICHARDS RULE, click here.
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.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.
How to choose a broker or investment adviser. Learn More