DANE DULANEY FULMER is currently employed as a Broker and/or Investment Adviser at CALTON & ASSOCIATES, INC. located at 5209 Rosewood Circle, Fort Smith, AR, 72903.
DANE DULANEY FULMER has worked at CALTON & ASSOCIATES, INC. since July 01, 2014
Disclosure History
DANE DULANEY FULMER has 6 Disclosure Event(s).
Date: February 26, 2001 Category: Customer Dispute Allegations: LOSSES WERE SUSTAINED AS A RESULT OF UNAUTHORIZED, IMPROPER AND INAPPROPRIATE TRADES Damage Amount Requested: $32,000.00 Broker Comment: I WAS NOT THE BROKER ON THIS ACCOUNT. ALL TRANSACTIONS COMPLAINED ABOUT WERE EXECUTED BY TONYA FULCHER AND MARK YARBROUGH.
Date: December 05, 2000 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE MR. FULMER RECOMMENDED PURCHASE OF UNSUITABLE BONDS Damage Amount Requested: $72,268.00
Date: July 06, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABLE INVESTMENTS. RECOMMENDATIONS WERE HIGH RISK INVESTMENTS AND CUSTOMER WANTED LOW RISK. Damage Amount Requested: $11,000.00
Date: April 07, 2000 Category: Customer Dispute Allegations: [CUSTOMER] ALLEGES THAT SECURITIES OF CORPORATIONS THAT WERE IN OR NEAR BANKRUPTCY WERE PURCHASED IN HER ACCOUNT WITHOUT ADEQUATE EXPLANATION. SHE FURTHER ALLEGES THAT SOME OF THESE PURCHASES WERE MADE PRIOR TO HER NOTIFICATION AND THEREFORE WITHOUT HER APPROVAL. ACCOUNT WAS OPENED LATE 1995 AND ALL WAS WELL UNTIL MARKET DECLINE CAUSED DEVALUATION OF HER ACCOUNTS AND THE SECURITIES WHICH LOST VALUE BECAME UNSUITABLE. Damage Amount Requested: $53,700.00 Settlement Amount: $30,000.00
Date: October 25, 1999 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT TRADES WHICH RESULTED IN LOSSES WERE UNSUITABLE. CUSTOMER FURTHER ALLEGES THAT HE IS ONLY AN ATTORNEY AND DID NOT KNOW ENOUGH TO PAY ATTENTION TO THE SECURITIES IN THE ACCOUNTS AND THEREFORE ADVANTAGE WAS TAKEN BY THE BROKERS. Damage Amount Requested: $200,000.00 Damages Granted: $52,000.00
Date: January 27, 1999 Category: Customer Dispute Allegations: MISLEAD REGARDING INVESTMENTS, UNAUTHORIZED TRADING - ORDERS WERE PLACED TO BUY GOV'T BACKED OR GOV'T GUARANTEED BONDS AND INSTEAD CORPORATE BONDS WERE PURCHASED Damage Amount Requested: $6,437.00 Settlement Amount: $6,437.25 Broker Comment: 1) I WAS NOT CUSTOMER'S BROKER AND DID NONE OF THESE TRADES2) CUSTOMER NEVER COMPLAINED. THE COMPLAINT IS FALSE 3) DANNY WILSON IS RESPONSIBLE FOR THE PROBLEMS WITH THIS ACCOUNT.
More Information
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