DARRYL ROBERT BULL is currently employed as a Broker and/or Investment Adviser at ALLSTATE FINANCIAL SERVICES, LLC located at 110 PENNSYLVANIA AVE, BANGOR, PA, 18013.
DARRYL ROBERT BULL has worked at ALLSTATE FINANCIAL SERVICES, LLC since September 23, 2014
Disclosure History
DARRYL ROBERT BULL has 1 Disclosure Event(s).
Date: August 23, 2010 Category: Employment Separation After Allegations Firm Name: CCO INVESTMENT SERVICES CORP. Termination Type: Discharged Allegations: VIOLATION OF FIRM POLICIES AND PROCEDURES. DURING A REGULAR ANNUAL AUDIT, MULTIPLE FORMS WERE FOUND THAT HAD BEEN SIGNED BY CLIENTS BUT WERE OTHERWISE BLANK. Broker Comment: DURING A REGULAR ANNUAL AUDIT BY CCP, CCF STATED THAT MULTIPLE FORMS WERE FOUND THAT HAD BEEN SIGNED BY CLIENTS BUT WERE OTHERWISE BLANK. THIS MR. BULL DENIED. HE WOULD COMPLETE AND PRINT 2 COPIES OF A COMPLETED PDF FORM, ONE FOR CCP AND ONE FOR THE CUSTOMER HE WOULD GIVE THE CUSTOMER A COPY WITH THE COPY OF THE SIGNATURE PAGES. THIS WAS DONE TO SAVE TIME. HE DID NOT COMPLETE ANY OF THESE DOCUMENTS AT A LATER DATE OR SUBMIT THEM FOR THE PURPOSE OF TRANSACTING ANY BUSINESS OF ANY TYPE. HE MAY HAVE FORGOTTEN TO PURGE THE FILES OF FORMS THAT WERE NOD NEEDED BUT IT WAS IN NO WAY TO TRANSACT BUSINESS WITHOUT A CLIENT'S CONSENT. ON AUGUST 17 IN A LETTER FROM [FINRA EMPLOYEE], FINRA EXAMINATION MANAGER (RE: STAR#20100240109). SHE STATED THEY COMPLETED THEIR INQUIRY OF THIS MATTER AND SHE STATED THAT A DETERMINATION BY FINRA WAS TO NOT TAKE ACTION AGAINST ANY MEMBER OR A MEMBER ASSOCIATED PERSON.
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