CATHARINE ANN DOMBROWSKI

CATHARINE ANN DOMBROWSKI is currently employed as a Broker and/or Investment Adviser at CETERA FINANCIAL SPECIALISTS LLC located at 3731 SUNSET LANE, SUITE 100, ANTIOCH, CA, 94509.

CATHARINE ANN DOMBROWSKI has worked at CETERA FINANCIAL SPECIALISTS LLC since July 13, 2010

Disclosure History

CATHARINE ANN DOMBROWSKI has 2 Disclosure Event(s).

Date: July 08, 2008
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGED THAT THEY DID NOT AUTHORIZE THE TRANSFERS OF FUNDS FROM THEIR ACCOUNT OR EXECUTE THE LETTER OF INSTRUCTION THAT WAS PROVIDED BY THE REPRESENTATIVE OF THE FIRM
Damage Amount Requested: $6,061.00
Broker Comment: FINRA THOROUGHLY REVIEWED THE CASE AND ISSUED A LETTER WITH THEIR FINDINGS. NO REGULATORY ACTION WAS TAKEN AGAINST THE REPRESENTATIVE. IN FACT, THE LETTER ISSUED BY FINRA STATED THAT THE REPRESENTATIVES ACTIONS WERE "WELL-INTENTIONED" AND "DID NOT RESULT IN ANY CUSTOMER HARM". THE REPRESENTATIVE WILL PROVIDE A COPY OF THE LETTER FROM FINRA TO ANY CUSTOMER WHO WISHES TO VIEW IT. CUSTOMERS ALLEGATION IS PATENTLY FALSE. TRANSFER WAS MADE PURSUANT TO CUSTOMERS SPECIFIC AUTHORIZATION TO PAY CUSTOMERS DELINQUENT MORTGAGE HELD BY PRIVATE LENDER WITH BROKERAGE ACCOUNT. FOR OVER TWO YEARS, CUSTOMERS MADE MORTGAGE PAYMENTS BY TRANSFERING MONEY FROM CUSTOMERS BROKERAGE ACCOUNT TO PRIVATE LENDER'S BROKERAGE ACCOUNT, INCLUDING THE $6,061 TRANSFERRED IN JUNE 2007, WITH NO COMPLAINTS. IN MAY 2008, AFTER CUSTOMERS BEGAN HAVING FINANCIAL DIFFICULTIES, CUSTOMERS FILED THEIR COMPLAINT ABOUT THE $6061 TRANSFER, A YEAR AFTER THE TRANSFER HAD BEEN MADE WITH THEIR AUTHORIZATION TO THEIR PRIVATE LENDER. ADDITIONALLY, CUSTOMER HAS WELL-DOCUMENTED CRIMINAL RECORD WITH CONVICTIONS, INCLUDING SIGNIFICANT FRAUD. CUSTOMER HAS COMMITTED MORTGAGE FRAUD BY DEFRAUDING BOTH INSTITUTIONAL AND PRIVATE LENDERS WHO LENT MONEY TO CUSTOMER SECURED BY CUSTOMER'S HOME. CUSTOMERS ARE NOT MARRIED TO EACH OTHER YET THEY REPRESENTED FRAUDULENTLY TO THE PUBLIC THAT THEY WERE MARRIED, INCLUDING REPRESENTATIONS TO BOTH THE GOVERNMENT AND LENDERS (BOTH INSTITUTIONAL AND PRIVATE). CUSTOMERS HAVE DEFRAUDED SENIOR CITIZENS, AND OTHER MEMBERS OF THEIR CHURCH TO OBTAIN LOANS. BOTH CUSTOMERS WERE IN THE MORTGAGE BROKERAGE INDUSTRY AND ARE SOPHISTICATED IN THE FINANCIAL SERVICES INDUSTRY AND KNEW HOW TO ARTIFICIALLY MANUFACTURE LOAN DOCUMENTS IN ORDER TO OBTAIN FUNDS.

Date: July 03, 2008
Category: Employment Separation After Allegations
Firm Name: H.D. VEST
Termination Type: Voluntary Resignation
Allegations: UNAUTHORIZED TRANSFERS / FORGERY
Broker Comment: FINRA THOROUGHLY REVIEWED THE CASE AND ISSUED A LETTER WITH THEIR FINDINGS. NO REGULATORY ACTION WAS TAKEN AGAINST THE REPRESENTATIVE. IN FACT, THE LETTER ISSUED BY FINRA STATED THAT THE REPRESENTATIVES ACTIONS WERE "WELL-INTENTIONED" AND "DID NOT RESULT IN ANY CUSTOMER HARM". THE REPRESENTATIVE WILL PROVIDE A COPY OF THE LETTER FROM FINRA TO ANY CUSTOMER WHO WISHES TO VIEW IT. CUSTOMERS ALLEGATION IS PATENTLY FALSE. TRANSFER WAS MADE PURSUANT TO CUSTOMERS SPECIFIC AUTHORIZATION TO PAY CUSTOMERS DELINQUENT MORTGAGE HELD BY PRIVATE LENDER WITH BROKERAGE ACCOUNT. FOR OVER TWO YEARS, CUSTOMERS MADE MORTGAGE PAYMENTS BY TRANSFERING MONEY FROM CUSTOMERS BROKERAGE ACCOUNT TO PRIVATE LENDER'S BROKERAGE ACCOUNT, INCLUDING THE $6,061 TRANSFERRED IN JUNE 2007, WITH NO COMPLAINTS. IN MAY 2008, AFTER CUSTOMERS BEGAN HAVING FINANCIAL DIFFICULTIES, CUSTOMERS FILED THEIR COMPLAINT ABOUT THE $6061 TRANSFER, A YEAR AFTER THE TRANSFER HAD BEEN MADE WITH THEIR AUTHORIZATION TO THEIR PRIVATE LENDER. ADDITIONALLY, CUSTOMER HAS WELL-DOCUMENTED CRIMINAL RECORD WITH CONVICTIONS, INCLUDING SIGNIFICANT FRAUD. CUSTOMER HAS COMMITTED MORTGAGE FRAUD BY DEFRAUDING BOTH INSTITUTIONAL AND PRIVATE LENDERS WHO LENT MONEY TO CUSTOMER SECURED BY CUSTOMER'S HOME. CUSTOMERS ARE NOT MARRIED TO EACH OTHER YET THEY REPRESENTED FRAUDULENTLY TO THE PUBLIC THAT THEY WERE MARRIED, INCLUDING REPRESENTATIONS TO BOTH THE GOVERNMENT AND LENDERS (BOTH INSTITUTIONAL AND PRIVATE). CUSTOMERS HAVE DEFRAUDED SENIOR CITIZENS, AND OTHER MEMBERS OF THEIR CHURCH TO OBTAIN LOANS. BOTH CUSTOMERS WERE IN THE MORTGAGE BROKERAGE INDUSTRY AND ARE SOPHISTICATED IN THE FINANCIAL SERVICES INDUSTRY AND KNEW HOW TO ARTIFICIALLY MANUFACTURE LOAN DOCUMENTS IN ORDER TO OBTAIN FUNDS.

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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