CARL EDWARD LINDROS is currently employed as a Broker and/or Investment Adviser at MUTUAL SECURITIES, INC. located at 747 GARDEN STREET, SANTA BARBARA, CA, 93101.
CARL EDWARD LINDROS has worked at MUTUAL SECURITIES, INC. since January 03, 2005
Disclosure History
CARL EDWARD LINDROS has 2 Disclosure Event(s).
Date: March 22, 2006 Category: Regulatory
Date: March 17, 1989 Category: Customer Dispute Allegations: CROSS COMPLAINT IN [THIRD PARTY] VS. [THIRD PARTY], ETAL - UNSUITABLE TRANSACTIONS MADE BY [THIRD PARTY] WITH POWER OFATTORNEY FOR CUSTOMER. IT IS ALLEGED THAT LINDROS SHOULD HAVEEXERCISED MORE SUPERVISION OVER THE ACTIVITIES IN THE ACCOUNT. Settlement Amount: $20,000.00 Broker Comment: THE CASE WAS DISMISSED WITH PREJUDICE. THEREWAS NO ADJUDICATJION OF ION OF FAULT FOUND ON THE PART OF SANTABARBARA SECURITIES OR LINDROS. SANTA BARBARA SECURITIES AGREEDTO A PAYMENT OF $20,000 TO CUSTOMER TO AVOID FURTHER LEGALEXPENSES.NOT PROVIDED
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