CLARENCE EDMUND BLANTON is currently employed as a Broker and/or Investment Adviser at DEMPSEY LORD SMITH, LLC located at 1156 BOWMAN ROAD, SUITE 200, MOUNT PLEASANT, SC, 29464.
CLARENCE EDMUND BLANTON has worked at DEMPSEY LORD SMITH, LLC since December 11, 2017
Disclosure History
CLARENCE EDMUND BLANTON has 1 Disclosure Event(s).
Date: December 28, 2012 Category: Customer Dispute Allegations: FROM ON OR ABOUT AUGUST 2008 THROUGH APRIL 2010. CLAIMANTS ALLEGE LOSSES IN THEIR ACCOUNTS ARISING FROM 1. NEGLIGENT AND UNTIMELY TRANSFER OF CERTAIN ASSETS. 2. THE WILLFUL AND FRAUDULENT EFFORT TO MISLEAD AND COVER UP THE TRANSFER AND 3. THE IMPRUDENT AND UNSUITABLE INVESTMENT STRATEGIES AND MANAGEMENT OF THEIR ACCOUNTS ONCE THE TRANSFER WAS COMPLETED. Settlement Amount: $500,000.00 Broker Comment: I VEHEMENTLY DENY THESE ALLEGATIONS. I HAVE MY CASE NOTES, PRESENTATIONS, AND DOCUMENTATION OF OUR MEETINGS. ALL INDICATE THAT I INSTRUCTED HER DURING THE INITIAL REVIEW AND EACH SUBSEQUENT REVIEW TO DIVERSIFY AWAY FROM HER CONCENTRATED HOLDING OF BAC. SHE SIMPLY REFUSED EACH TIME.
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