DARWIN WHITCOMB HEATH JR. is currently employed as a Broker and/or Investment Adviser at PURSHE KAPLAN STERLING INVESTMENTS located at 168 Coolidge Farm Rd, Center Sandwich, NH, 03227.
DARWIN WHITCOMB HEATH JR. has worked at PURSHE KAPLAN STERLING INVESTMENTS since August 12, 2011
Disclosure History
DARWIN WHITCOMB HEATH JR. has 3 Disclosure Event(s).
Date: September 14, 2004 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE THAT THEIR ACCOUNT WAS OVER-CONCENTRATED IN TECHNOLOGY STOCKS. Damage Amount Requested: $51,000.00 Settlement Amount: $13,000.00
Date: April 14, 2003 Category: Customer Dispute Allegations: CLIENTS CLAIM THAT THEY DID NOT AUTHORIZE THE 4/2000 SALE OF 4000 SHARES OF PORT FINANCIAL, A STOCK THAT HAS APPRECIATED BY $42.52 PER SHARE SINCE THE SALE DATE. CLIENTS REQUEST REINSTATEMENT OF POSITION. Damage Amount Requested: $170,060.00 Broker Comment: THIS WAS JUST ONE TRADE THAT WAS UNSOLICITED. HE DID NOT BUY THE STOCK FROM ME. HE WAS REFERRED TO ME BECAUSE I WOULD DO THE TRADE AT A DISCOUNT. HE JUST WANTED TO FLIP IT FORA COUPLE OF POINTS. I HAVE ALREADY TALKED TO COMPLIANCE AT MY OLD FIRM, AND THEY SAID THAT BASED ON THEIR RECORDS THEY WERE GOING TO DENY THE COMPLAINT.
Date: January 09, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT HE DID NOT AUTHORIZE CERTAIN ALLEGATIONS ON NOVEMBER 20,2000 I STRONGLY DISPUTE ALL ALLEGATIONS Damage Amount Requested: $33,024.00
More Information
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