CATHY L CRISTMAN

CATHY L CRISTMAN is currently employed as a Broker and/or Investment Adviser at CADARET, GRANT & CO., INC. located at 536 EAST MAIN STREET, LITTLE FALLS, NY, 13365.

CATHY L CRISTMAN has worked at CADARET, GRANT & CO., INC. since November 30, 2017

Disclosure History

CATHY L CRISTMAN has 1 Disclosure Event(s).

Date: March 14, 2014
Category: Employment Separation After Allegations
Firm Name: M&T SECURITIES
Termination Type: Discharged
Allegations: RR WAS A DUAL EMPLOYEE OF THE FIRM AND AFFILIATED BANK. THE RR WAS TERMINATED BY THE AFFILIATED BANK FOR ADMITTING TO VIOLATING THE BANKS WIRE TRANSFER POLICY BY PROCESSING WIRE TRANSFERS FOR A CUSTOMER WITHOUT THE CUSTOMER BEING PRESENT. THE INCIDENT DID NOT INVOLVE A SECURITIES RELATED PRODUCT OR TRANSACTION. THE AFFILIATED BANK CUSTOMER DID NOT SUFFER A LOSS DUE TO THIS ISSUE.

More Information

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