CHRISTOPHER MICHAEL COLLINS is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 2200 FLETCHER AVE STE 100, LINCOLN, NE, 68521.
CHRISTOPHER MICHAEL COLLINS has worked at SECURITIES AMERICA, INC. since November 20, 2017
Disclosure History
CHRISTOPHER MICHAEL COLLINS has 2 Disclosure Event(s).
Date: March 15, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES REPRESENTATIVE RESPONSIBLE FOR INACCURATE COST BASIS CAUSING TAX LIABILITIES FOR 2007 DUE TO WITHDRAWL FROM VA CONTRACT. Damage Amount Requested: $17,000.00
Date: May 03, 1995 Category: Regulatory Initiated By: NEBRASKA DEPARTMENT OF BANKING AND FINANCE,BUREAU *See FAQ #1* Allegations: THE DEPARTMENT ALLEGED THAT TOMORROW`S MONEYSEMINARS, INC., A REGISTERED INVESTMENT ADVISER OF WHICH I AM APRINCIPAL ENGAGED IN INVESTMENT ADVISORY ACTIVITIES AND CERTAINOTHER TECHNICAL VIOLATIONS OF THE NEBRASKA SECURITIES ACT INCONNECTION WITH INVESTMENT ADVISER ACTIVITIES WITHOUT BEINGREGISTERED IN THE STATE OF NEBRASKA. Resolution: Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $2,000.00 Sanction Details: TOMORROW`S MONEY SEMINARS, INC. AND I ENTERED ACONSENT ORDER WITH THE DEPARTMENT. UPON THE PAYMENT OF PASTREGISTRATION FEES AND A FINE OF $2,000, ALL ALLEGATIONS WERERESOLVED AND TOMORROW`S MONEY SEMINARS, INC. AND I WERE DULYREGISTERED AS AN INVESTMENT ADVISER AND AN INVESTMENT ADVISORYREPRESENTATIVE IN THE STATE OF NEBRASKA WITHOUT RESTRICTIONS. Broker Comment: DUE TO A CLERICAL ERROR IN REGISTERING AS ANINVESTMENT ADVISER IN NEBRASKA IN THE FALL OF 1994, TOMORROW`SMONEY SEMINARS, INC. ALLEGEDLY ENGAGED IN INVESTMENT ADVISORYACTIVITIES IN NEBRASKA WITHOUT A VALID ORDER OF REGISTRATION.TOMORROW`S MONEY SEMINARS, INC. WAS REGISTERED WITH THESECURITIES AND EXCHANGE COMMISSION AS AN INVESTMENT ADVISER ATALL TIMES.
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