BRIAN D ADDIS is currently employed as a Broker and/or Investment Adviser at CANTELLA & CO., INC. located at 69 North Dixie Drive, Suite B, Vandalia, OH, 45377.
BRIAN D ADDIS has worked at CANTELLA & CO., INC. since December 19, 2016
BRIAN D ADDIS has 5 Disclosure Event(s).
Date: June 27, 2017 Category: Customer Dispute Allegations: The client alleges that in June of 2014 the financial advisor provided poor advice to transfer their qualified account into a non-qualified account. Damage Amount Requested: $5,000.00 Broker Comment: After completion of the firm's investigation into client's allegations, claim was denied.
Date: April 05, 2017 Category: Customer Dispute Allegations: The client alleges the financial advisor misrepresented the penalty for the distribution from his IRA in June 2016. Damage Amount Requested: $5,000.00 Settlement Amount: $7,558.00 Broker Comment: After completion of the firm's investigation, the client's claim was resolved in the amount of $7,558.00.
Date: October 28, 2016 Category: Customer Dispute Allegations: The clients alleges equity trades in their accounts in April 216 were not authorized. Damage Amount Requested: $5,000.00 Settlement Amount: $1,966.95 Broker Comment: After completion of the Edward Jones's investigation, the client's claim was resolved in the amount of $1966.95.
Date: September 21, 2016 Category: Employment Separation After Allegations Firm Name: Edward Jones Termination Type: Permitted to Resign Allegations: Violated Firm's Discretionary Orders policy.
Date: March 20, 2012 Category: Customer Dispute Allegations: CLIENT RECENTLY RELOCATED TO A NEW STATE, AND TRANSFERRED HER ACCOUNT TO ANOTHER FINANCIAL ADVISOR CLOSER TO HER NEW LOCATION, WITHIN THE FIRM. DURING THE INITIAL MEETING, THE CLIENT INDICATES SHE SAID SHE WOULD CONSIDER THEIR DISCUSSIONS, AND INITIATED A DIRECT ROLLOVER TO HER EXISTING IRA. THE CLIENT EMAILED CONFIRMATION OF THE REQUEST FOR ROLLOVER, INCLUDING THAT SHE WOULD LIKE OPTIONS FOR THE ROLLOVER. THE CLIENT FELT CONFIDENT THAT THEY WOULD DISCUSS THIS WHEN RECEIVED, BASED ON THE BRANCH OFFICE ADMINISTRATOR'S EMAIL RESPONSE THAT THE ADVISOR WOULD BE IN CONTACT. THE CLIENT ALLEGES THE ADVISOR PLACED MANY TRADES OVER A SHORT PERIOD OF TIME, AND THE CLIENT WAS CONFUSED BECAUSE SHE THOUGHT SHE WOULD BE CONTACTED BEFORE ANY INVESTMENTS WERE MADE. THE CLIENT SENT CORRESPONDENCE TO THE FORMER ADVISOR ASKING FOR HIS OPINION. Damage Amount Requested: $5,000.00 Broker Comment: THE CLIENT SENT EMAIL CORRESPONDENCE AND CALLED CLIENT RELATIONS. UPON NOTIFICATION FROM CLIENT RELATIONS OF THE CLIENT'S CONCERNS, THE FINANCIAL ADVISOR CONTACTED THE CLIENT TO REVIEW THE MISUNDERSTANDING. HE REVIEWED THEIR DISCUSSION, AND HIS UNDERSTANDING OF HER AGREEMENT AND CONFIRMATION OF THE RECOMMENDATIONS. THE FINANCIAL ADVISOR AND CLIENT AGREED THAT A MUTUAL MISUNDERSTANDINGHAD OCCURRED. THE FINANCIAL ADVISOR OFFERED TO CANCEL ALL TRANSACTIONS . THE CLIENT DECLINED THE OFFER, ELECTING TO MAINTAIN THE RECOMMENDED POSITIONS.
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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.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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