CYNTHIA KELLEY HINDS is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 141 UNION BLVD., SUITE 350, LAKEWOOD, CO, 80228.
CYNTHIA KELLEY HINDS has worked at CETERA ADVISOR NETWORKS LLC since November 17, 1989
Disclosure History
CYNTHIA KELLEY HINDS has 2 Disclosure Event(s).
Date: July 02, 2004 Category: Customer Dispute Allegations: CLIENTS ARE ALLEGING THAT ASSET ALLOCATION IN THEIR INSURANCE POLICIES SUB ACCOUNTS WERE TOO AGGRESSIVE FOR THEIR RISK TOLERANCE & WERE UNSUITABLE. THEY ARE QUESTIONING WHETHER THE PURCHASE OF THESE POLICIES WAS IN THEIR BEST INTEREST. Broker Comment: ALLEGED COMPENSATORY DAMANGE AMOUNT NOT STATED IN COMPLAINT.
Date: August 09, 2000 Category: Customer Dispute Allegations: IN NOV. 1999 [CUSTOMER] MET WITH CYNTHIA HINDS TO REVIEW CURRENT PORTFOLIO. CLIENT WAS UNHAPPY WITH PERFORMANCE. MS. HINDS RECOMMENDED NO LOAD AN LOAD WAIVED MUTUAL FUNDS. TRADES WERE EFFECTED IN FEBUARY,2000. CLIENT LIQUIDATED ACCOUNT AT OTHER BROKER/DEALER. [CUSTOMER] ALLEGES THE RECOMMENDED INVESTMENT STRATEGY WAS UNSUITABLE AND WASN'T AWARE OF COMMISSSIONS AND TAX CONSEQUENCES FROM STOCK SALES AT OTHER B/D. Damage Amount Requested: $40,000.00 Settlement Amount: $20,000.00
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