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
Disclosure History
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.
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