CHESTER JOSEPH HEBERT

CHESTER JOSEPH HEBERT is currently employed as a Broker and/or Investment Adviser at COLORADO FINANCIAL SERVICE CORPORATION located at 140 E. 19TH AVENUE - SUITE 700, SUITE 355, DENVER, CO, 80203-0135.

CHESTER JOSEPH HEBERT has worked at COLORADO FINANCIAL SERVICE CORPORATION since May 22, 2018

Disclosure History

CHESTER JOSEPH HEBERT has 2 Disclosure Event(s).

Date: April 03, 1996
Category: Employment Separation After Allegations
Firm Name: KOHN, HEBERT & ASSOCIATES, LTD.
Termination Type: Voluntary Resignation
Allegations: HEBERT WAS ACCUSED BY KOHN OF MISAPPLYING COMMISSIONS. ACCUSATION WAS ATTEMPT BY KOHN TO OUST HEBERT AS OWNER. HEBERT FILED SUIT AGAINST KOHN AND CORPORATION, RESULTING IN DISSOLUTION OF CORPORATION AND AMENDED U-5 TO SHOW VOLUNTARY TERMINATION. NASD DISTRICT 3 INVESTIGATED AND FOUND NO WRONGDOING BY HEBERT.
Broker Comment: DISPUTE WENT TO COURT AND MEDIATION. SETTLED IN MY FAVOR. FIRM REQUIRED TO FILE CLEAN U-5 SHOWING VOLUNTARY RESIGNATION. ALL CLAIMS ANDCOUNTERCLAIMS DISMISSED WITH PREJUDICE. COURT ORDEREDDISSOLUTION OF FIRM WHICH WAS EQUALLY OWNED BY MYSELF ANDSTEPHEN KOHN. AMENDED U-5 FILED. VOLUNTARY RESIGNATION AS OF 3/31/96 WITH NO ADVERSE REMARKS. DISTRICT THREE NASD INVESTIGATED DIRTY U-5 AND FOUND NO WRONGDOING ON MY PART. DIRTY U-5 WAS ATTEMPT BY STEPHEN KOHN TO FORCE ME OUT OF OWNERSHIP OF BROKER-DEALER. I ALWAYS REFUTED ALL ALLEGATIONS.AS OF 01-2001HEBERT RECEIVED CASH AND CLEAN U-5.

Date: December 31, 1992
Category: Employment Separation After Allegations
Firm Name: U.S. SECURITIES CLEARING CORP.
Termination Type: Voluntary Resignation
Allegations: NASD ARBITRATIONFAILURE TO RETURN BOOKS AND RECORDS. ALLEGEDVIOLATION OF SEC RULE 17A3 AND 17A4.
Broker Comment: INDUSTRY ARBITRATION RULED IN HEBERT'S FAVOR. AWARD REQUIRED FIRM TO FILE AMENDED CLEAN U-5 AND PAY TOTAL DAMAGES OF $70,000 TO MYSELF AND OTHERS. AMENDED U-5 FILED. I REFUTED ALL ALLEGATIONS. VOLUNTARY RESIGNATIONAS OF 12/31/92.

More Information

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