DAVID PATRICK KEATOR is currently employed as a Broker and/or Investment Adviser at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located at 218 MAIN ST, LENOX, MA, 01240.
DAVID PATRICK KEATOR has worked at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC since September 09, 2005
Disclosure History
DAVID PATRICK KEATOR has 1 Disclosure Event(s).
Date: December 31, 2002 Category: Customer Dispute Allegations: CLIENT'S ALLEGE, THROUGH WRITTEN COMPLAINT FILED WITH THE STATE OF CONNECTICUT, THAT IN 1998 THE REGISTERED REPRESENTATIVE SUGGESETD THAT THEY INVEST IN A 419 TRUST. IN CONJUNCTION WITH THIS INVESTMENT, LIFE INSURANCE POLICIES WERE ALSO OBTAINED FOR BOTH CLIENTS. CLIENTS ALLEGE THAT THEY SPECIFICALLY TOLD THE REGISTERED REPRESENTATIVE THAT THEY DID NOT WANT TO PURCHASE ANY LIFE INSURANCE. CLIENTS STATE THAT THEY HAVE MADE SEVERAL ATTEMPTS TO GET OUT OF THE TRUST AND INSURANCE POLICIES BUT HAVE BEEN UNABLE TO DO SO. ALTHOUGH THE CLAIM AMOUNT WAS NOT SPECIFIED IN THE COMPLAINT, FIRST ALBANY MADE A GOOD FAITH DETERMINATION THAT THE MATTER WOULD BE REPORTABLE UNDER THE CURRENT TERMS OF FORM U-5.
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.
To view the full report for DAVID PATRICK KEATOR, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.