DAVID DUANE JONES

DAVID DUANE JONES is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 929 E CENTER STREET, WARSAW, IN, 46580.

DAVID DUANE JONES has worked at CETERA INVESTMENT SERVICES LLC since August 04, 2014

Disclosure History

DAVID DUANE JONES has 2 Disclosure Event(s).

Date: December 17, 2015
Category: Customer Dispute
Allegations: Client alleging unsuitability
Damage Amount Requested: $150,165.00

Date: January 23, 2014
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES SHE WAS TOLD THAT HER PRINCIPLE WAS PROTECTED FROM MARKET LOSSES AND THAT SHE WOULD EARN A GUARANTEED RATE OF 5%.
Damage Amount Requested: $6,106.70

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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