BRIAN M NOVOTNY

BRIAN M NOVOTNY is currently employed as a Broker and/or Investment Adviser at THE HUNTINGTON INVESTMENT COMPANY located at LAGRANGE, 106 S CENTER STREET, LAGRANGE, OH, 44050.

BRIAN M NOVOTNY has worked at THE HUNTINGTON INVESTMENT COMPANY since February 01, 2017

Disclosure History

BRIAN M NOVOTNY has 2 Disclosure Event(s).

Date: November 05, 2015
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES FAILURE TO DISCLOSE NATURE OF INVESTMENT (MUTUAL FUND), MADE IN 2015, AND THAT INVESTMENT COULD LOSE VALUE.
Damage Amount Requested: $17,000.00
Settlement Amount: $7,778.88

Date: November 12, 1985
Category: Criminal
Charges: RECEIVING STOLEN PROPERTY
Disposition: Dismissed

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.

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