BARBARA ANN BUDNY

BARBARA ANN BUDNY is currently employed as a Broker and/or Investment Adviser at COMMONWEALTH FINANCIAL NETWORK located at 304 Inverness Way South, Suite 305, Englewood, CO, 80112.

BARBARA ANN BUDNY has worked at COMMONWEALTH FINANCIAL NETWORK since June 02, 2017

Disclosure History

BARBARA ANN BUDNY has 2 Disclosure Event(s).

Date: January 06, 2004
Category: Customer Dispute
Allegations: ALLEGES UNSUITABLE INVESTMENTS AND UNAUTHORIZED TRADING IN MAY 2002.
Damage Amount Requested: $153,000.00
Settlement Amount: $20,000.00
Broker Comment: ALLEGATIONS WERE DENIED. CLAIM WAS SETTLED TO AVOID THE EXPENSE AND UNCERTAINTY OF FURTHER PROCEEDINGS.

Date: December 16, 2002
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES INVESTMENTS FROM OCTOBER 2000 TO APRIL 2001 WERE UNSUITABLE. I DENY THESE ALLEGATIONS.
Damage Amount Requested: $75,569.45
Settlement Amount: $45,000.00

More Information

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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.

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