DAVID GORMAN is currently employed as a Broker and/or Investment Adviser at EMPIRE ASSET MANAGEMENT COMPANY located at 29 BROADWAY, 12TH FLOOR, NEW YORK, NY, 10006.
DAVID GORMAN has worked at EMPIRE ASSET MANAGEMENT COMPANY since February 10, 2012
Disclosure History
DAVID GORMAN has 2 Disclosure Event(s).
Date: August 20, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES NEGLIGENCE IN FIDUCIARY RESPONSIBILITIES AGAINST FIRM AND INDIVIDUAL IN PLACING ORDERS GIVEN BY CUSTOMER'S INVESTMENT ADVISOR WHO HAD DISCRETIONARY POWER OVER CLIENT'S ACCOUNT FROM SEPTEMBER, 2002 TO JANUARY, 2002. Damage Amount Requested: $132,800.00 Settlement Amount: $60,000.00 Broker Comment: I DENY THE CUSTOMERS ALLEGATIONS AND INTEND TO DEFEND MYSELF VIGOROUSLY.
Date: May 31, 2002 Category: Customer Dispute Allegations: CLAIMANT ALLEGED TO HAVE SUSTAINED LOSSES OCCASIONED BY A RELATIONSHIP WITH AN UNAFFILAITED INDIVIDUAL WITH TRADING AUTHORIZATION. MR. GORMAN AS A REGISTERED REPRESENTATIVE OF BENCHMARK-PELLINORE GROUP, INC. CATEGORICALLY DENIES ALL MATERIAL ALLEGATIONS IN THE STATEMENT OF CLAIM. Damage Amount Requested: $283,000.00 Damages Granted: $46,100.00
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