CHERYL ANN ANTHONY is currently employed as a Broker and/or Investment Adviser at DETALUS SECURITIES, LLC located at 383 MARSHALL AVENUE, ST. LOUIS, MO, 63119.
CHERYL ANN ANTHONY has worked at DETALUS SECURITIES, LLC since January 22, 2009
Disclosure History
CHERYL ANN ANTHONY has 1 Disclosure Event(s).
Date: August 07, 2008 Category: Customer Dispute Allegations: MISSOURI RESIDENT WRITES THAT HE THOUGHT $500,000 MISSOURI STTE HEALTH AND WELFARE ARS INSURED BONDS WERE SAFE AND LIQUID. CLIENT DID NOT REQUEST COMPENSATION FROM THE FIRM OR FA, BUT RATHER STATED THAT HE HAS HEARD NOTHING FROM THE FIRM AND RECEIVED NO INFORMATION. Settlement Amount: $500,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE TRANSACTION(S) AT ISSUE TOOK PLACE BEFORE MID-FEBRUARY 2008, WHEN THE ARS MARKET SUFFERED WIDESPREAD AUCTION FAILURES AND ILLIQUIDITY. THE FINANCIAL ADVISOR DID NOT CAUSE, CONTRIBUTE OR HAVE ANY CONTROL WHATSOEVER OVER THESE MARKET EVENTS. THE FIRM REACHED AGREEMENT WITH CERTAIN OF ITS REGULATORS, PURSUANT TO WHICH IT REPURCHASED ARS FOR THEIR FULL PAR VALUE FROM CERTAIN CLIENTS, INCLUDING THE INSTANT CLIENT, WHETHER THEY COMPLAINED OR NOT. THE FINANCIAL ADVISOR WAS NOT A PARTY TO THAT AGREEMENT, DID NOT MAKE ANY PAYMENT TO THE CLIENT, AND WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE REPURCHASE AMOUNT. THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, AS REQUIRED BY FINRA REGULATORY NOTICE 09-12.
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